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Results: 1-10 of 416

This week in securities litigation (week ending July 25, 2014)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • July 24 2014

The Commission issued its long discussed rules reforming money markets this week, requiring that institutional prime money market funds have a

This week in securities litigation (week ending August 22, 2014)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • August 21 2014

The Second Circuit upheld SEC Rule 10b-5-2 which defines certain types of relationships as the predicate for insider trading. In reaching its

Fund principal partially resolves administrative charges

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • April 7 2014

A principal of an investment adviser partially settled a previously filed administrative proceeding which centers on claims that he and another

This week in securities litigation (week ending June 14, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • June 14 2013

The Commission filed a settled action alleging fraud in connection with a going private transaction based on Exchange Act Section 13(e). The agency

This week in securities litigation (week ending July 18, 2014)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • July 17 2014

The SEC's insider trading probe regarding the House Ways and Means Committee and a senior staff member, also involves 44 investment funds and other

SFO prevails in first contested overseas corruption trial

  • Dorsey & Whitney LLP
  • -
  • United Kingdom, USA
  • -
  • June 18 2014

The U.K.'s Serious Frauds Office prevailed in its first overseas corruption trial, securing a jury verdict in its favor and against two former

How to trap a tiger regulators’ nets tighten around Tiger Asia on both sides of the Pacific

  • Dorsey & Whitney LLP
  • -
  • Hong Kong, USA
  • -
  • August 21 2013

Government securities enforcement agencies in Hong Kong and the United States have been pursuing Tiger Asia Management and its affiliates for four

This week in securities litigation (week ending February 1, 2013)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • February 1 2013

George Canellos and David Burger were appointed, respectively, the Acting Director and Acting Deputy Director of the SEC's Division of Enforcement

This week in securities litigation (week ending August 1, 2014)

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • July 31 2014

The Commission continued to focus on the markets this week, brining another action involving the operation of a partially dark pool. The ECN operator

The new era of FCPA enforcement

  • Dorsey & Whitney LLP
  • -
  • Global, USA
  • -
  • August 29 2011

It has been over thirty years since the U.S. became the first country to pass anti-corruption legislation known as the Foreign Corrupt Practices Act