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Results: 1-10 of 17

Before the whistle blows: recent developments and best practices for effective whistleblowing programs

  • Baker & McKenzie
  • -
  • USA
  • -
  • June 18 2014

News about whistleblowers has been prominent once again during the first half of 2014, both in legal circles and in the mainstream media. Several

Court denies SEC's application for service by publication or email due to lack of evidence these methods would reach defendants in China

  • Baker & McKenzie
  • -
  • USA
  • -
  • May 29 2014

In connection with an action alleging fraud and other violations of U.S. securities laws against Chinese companies, the United States Securities and

Divided SEC presses ahead with conflict minerals reporting after court partially invalidates rule

  • Baker & McKenzie
  • -
  • USA
  • -
  • May 12 2014

On April 14, the Court of Appeals for the District of Columbia Circuit issued a decision holding part of the SEC's conflict minerals reporting rule

SEC staff says 2014 conflict minerals reporting remains in effect and on schedule, except for labeling rejected by Court of Appeals

  • Baker & McKenzie
  • -
  • USA
  • -
  • April 30 2014

The new SEC guidance states that the Division still expects companies to file reports required under the rule on or before the existing filing date -

US Court of Appeals issues ruling invalidating portion of SEC conflict minerals rule

  • Baker & McKenzie
  • -
  • USA
  • -
  • April 21 2014

On 14 April 2014, the Court of Appeals for the District of Columbia Circuit upheld in part and invalidated in part the SEC's conflict minerals rule

“Fraud on the market” and securities class actions: Canadian domiciled companies await the US Supreme Court’s ruling in Halliburton Co. v. Erica P. John Fund Inc

  • Baker & McKenzie
  • -
  • Canada, USA
  • -
  • April 2 2014

Our team has been monitoring some key developments that could soon impact US and Canadian companies that list shares on US exchanges. One of

The United States Supreme Court revisits “fraud on the market” reliance

  • Baker & McKenzie
  • -
  • USA
  • -
  • March 31 2014

On March 5, 2014, the Supreme Court heard oral arguments in the landmark securities class action case, Halliburton v. Erica P. John Fund, Inc., to

Interpretation of the “in connection with” requirement of SLUSA

  • Baker & McKenzie
  • -
  • USA
  • -
  • March 31 2014

On February 26, 2014, the Supreme Court, in a 7-2 ruling, held that the Securities Litigation Uniform Standards Act of 1998 ("SLUSA"), which forbids

The Sarbanes-Oxley Act of 2002 shields both employees of a public company and employees of its privately held contractors and subcontractors

  • Baker & McKenzie
  • -
  • USA
  • -
  • March 31 2014

On March 4, 2014, the Supreme Court held that a provision of the Sarbanes-Oxley Act of 2002, 116 Stat. 745, shields not only employees of a public

Audit committee members may have securities fraud liability for failure to respond to red flags

  • Baker & McKenzie
  • -
  • USA
  • -
  • March 12 2014

In a recent opinion, the U.S. District Court for the Southern District of New York held that securities fraud claims could proceed against two members