We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 143

SEC brings charges against SEC registered investment adviser for improperly allocating expenses and other violations of the Investment Advisers Act of 1940 (the “Advisers Act”)

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • March 25 2014

On February 25, 2014 the Securities and Exchange Commission (the "SEC") filed public administrative and cease-and-desist proceedings against

China cracking down on pharmaceutical corruption

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • China, USA
  • -
  • March 25 2014

On December 25, 2013, the National Health and Family Planning Commission of China ("National Health Commission", former Ministry of Health) issued

Sarbanes-Oxley whistleblower protections cover employees of a public company’s private contractors

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • March 25 2014

On March 4, 2014, the United States Supreme Court, in a 6-3 decision, expanded the protections offered to whistleblowers under anti-fraud laws, in

Second Circuit upholds SEC’s authority to obtain disgorgement from non-trading insider profits earned by portfolio fund from insider trading

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • March 12 2014

In SEC v. Contorinis, 2014 U.S. App. LEXIS 2927 (2d Cir. Feb. 18, 2014), the United States Court of Appeals for the Second Circuit upheld the

The gloves are off: U.S. sanctions block aggressors in Crimea

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • Ukraine, USA
  • -
  • March 10 2014

In response to Russia's military presence in the Crimean region of Ukraine, President Obama issued an Executive Order ("EO") on March 6, 2014

It doesn’t pay to steal: in largest ever kleptocracy forfeiture action, DOJ seizes $458 million

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • Nigeria, USA
  • -
  • March 10 2014

On March 5, 2014, the U.S. Department of Justice announced that it had frozen over $458 million of ill-gotten assets that former Nigerian dictator

Second Circuit holds that federal common law prohibits trading by insiders of a Cayman Islands corporation while in possession of material nonpublic information

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • Cayman Islands, USA
  • -
  • February 4 2014

In Steginsky v. Xcelera Inc., Nos. 13-1327-cv, 13-1892-cv, 2014 WL 274419 (2d Cir. Jan. 27, 2014), the United States Court of Appeals for the Second

Second Circuit affirms dismissal of short-swing profit claim against Goldman Sachs arising from six-month call options

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • February 4 2014

In Roth v. The Goldman Sachs Group, Inc., No. 12-2509-cv, 2014 WL 305094 (2d Cir. Jan. 29, 2014), the United States Court of Appeals for the Second

A reminder that FCA can be used for customs enforcement

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • January 30 2014

On Nov. 14, 2013, the U.S. Department of Justice announced a False Claims Act settlement with Basco Manufacturing Company, a maker of shower

False Claims Act whistleblower bounties exceed $345 million in Fiscal Year 2013

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • January 21 2014

The DOJ has released its Fiscal Year ("FY") 2013 totals for civil settlements and judgments recovered under the federal False Claims Act ("FCA"). To