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Results: 1-10 of 33

SEC liberalises the deregistration rules for non-US issuers

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • July 12 2007

On 21 March 2007, the SEC unanimously adopted amendments to the rules governing when non-US issuers may deregister under the Securities and Exchange Act of 1934, as amended (the “Exchange Act”) and, accordingly, terminate its reporting obligations

US whistleblowing protection for employee based in France - potential extra-territorial application of Sarbanes-Oxley provisions

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • March 5 2008

A recent decision of the US District Court in Manhattan has ruled that an employee of a French company, who was based in France, was entitled to claim whistleblowing protection under the US Sarbanes-Oxley Act of 2002 ("SOX"

Contentious and regulatory issues in 2008

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom, USA
  • -
  • April 14 2008

Litigation is growing in England, as it is in the US, as investors and counterparties seek to recover losses sustained in the credit crunch

Morrison v National Australia Bank

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom, USA
  • -
  • July 1 2010

In a decision of great significance to non-US issuers and their shareholders, the US Supreme Court has clarified and restricted the extra-territorial application of the anti-fraud provisions of US federal securities laws

US Supreme Court grants leave to appeal in foreign-cubed securities class action

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • December 4 2009

On 30 November 2009, the United States Supreme Court granted certiorari in Morrison v National Australia Bank Limited, in effect granting leave to the plaintiffs to appeal against the decision of the US Court of Appeals for the Second Circuit declining jurisdiction in that case

SEC charges attorney in insider trading scheme

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • January 6 2010

The Securities and Exchange Commission (SEC) has charged lawyer, Brien. P. Santarlas for disclosing non-public information about a proposed corporate acquisition relating to one of the firm's clients in exchange for kickbacks

Amendments to the rules for nationally recognized statistical rating organizations (NRSROs)

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • April 1 2009

The U.S. Credit Rating Agency Reform Act of September 2006 (the "Rating Agency Act") was passed by Congress to protect investors by improving the quality of credit ratings through increased transparency, accountability, and competition in the credit ratings industry

SEC charges General Re Corporation for its role in AIG and Prudential accounting fraud

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • February 16 2010

The US Securities and Exchange Commission (SEC) has issued a complaint against General Re Corporation (Gen Re) for its involvement in assisting American International Group (AIG) and Prudential Financial Inc. with setting up sham transactions to manipulate their financial statements

US SEC files civil action charging NATCO with violations under FCPA

  • Herbert Smith Freehills LLP
  • -
  • USA
  • -
  • June 3 2010

The US Securities and Exchange Commission (SEC) settled its civil enforcement action against NATCO Group Inc (NATCO) earlier this year

US Supreme Court restricts the extra-territorial reach of the SEC Act

  • Herbert Smith Freehills LLP
  • -
  • Australia, USA
  • -
  • August 4 2010

On 24 June 2010, the Supreme Court of the United States handed down a decision of wide-reaching importance in Morrison v National Australia Bank

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