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Unprecedented FCPA wake-up call for U.S. broker-dealers and foreign banks: has the perfect FCPA storm finally arrived for U.S. financial markets?

Duane Morris LLP
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USA
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May 14 2013

On May 7, 2013, the U.S. Attorney's Office for the Southern District of New York (SDNY) unsealed extraordinary criminal charges against two

Insider trading through deductive reasoning: Canada and the United States take different approaches

Davis LLP
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Canada, USA
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May 15 2013

The Ontario Securities Commission and a veteran investment banker, Richard Moore, recently reached a settlement agreement regarding claims by the OSC

Supreme Court considering whether to accept Sarbanes-Oxley whistleblower case

Zuckerman Spaeder LLP
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USA
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May 15 2013

Only a handful of employment cases make it all the way to the Supreme Court's August chambers at One First Street. That's largely because the Court

DOJ turns FCPA spotlight on financial services sector as enforcement efforts in Latin America continue

Morrison & Foerster LLP
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USA
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May 15 2013

Last week, the U.S. Department of Justice (DOJ) announced the indictment of two employees of a U.S. broker-dealer, Direct Access Partners, and a

Think the government’s claim against you is time-barred? Not so fast!

Dechert LLP
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USA
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May 9 2013

When a company understands that the United States Government may have a claim against it, the company's directors and officers are usually very aware

SEC raises private equity fund broker-dealer concerns

Whiteford Taylor & Preston LLP
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USA
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May 5 2013

In remarks before the American Bar Association's Trading and Markets Subcommittee, the Chief Counsel of the SEC's Division of Trading and Markets

Social media approved as Regulation FD compliant disclosure

Seyfarth Shaw LLP
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USA
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May 13 2013

On April 2, 2013 the SEC released guidance relating to the use of social media sites to disclose material non-public information in compliance with

Crowdfunding and JOBS Act news roundup May 17, 2013

Leonard, Street and Deinard
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USA
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May 17 2013

This week the SEC appointed Keith F. Higgins as Director of the Division of Corporation Finance. We don't know him personally but have seen him speak

SEC Chair Mary Jo White on social media

Leonard, Street and Deinard
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USA
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May 16 2013

In testimony before the U.S. House of Representatives Committee on Financial Services, SEC Chair Mary Jo White stated that the Netflix Section 21(a

Protecting privacy or enabling fraud? Employee social media password protection laws may clash with FINRA rules

Proskauer Rose LLP
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USA
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May 8 2013

As a growing number of states pass legislation which will protect individuals' social media accounts from employer scrutiny, they have encountered a

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Search results

Unprecedented FCPA wake-up call for U.S. broker-dealers and foreign banks: has the perfect FCPA storm finally arrived for U.S. financial markets?

Insider trading through deductive reasoning: Canada and the United States take different approaches

Supreme Court considering whether to accept Sarbanes-Oxley whistleblower case

DOJ turns FCPA spotlight on financial services sector as enforcement efforts in Latin America continue

Think the government’s claim against you is time-barred? Not so fast!

SEC raises private equity fund broker-dealer concerns

Social media approved as Regulation FD compliant disclosure

Crowdfunding and JOBS Act news roundup May 17, 2013

SEC Chair Mary Jo White on social media

Protecting privacy or enabling fraud? Employee social media password protection laws may clash with FINRA rules

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