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Results: 1-10 of 64

First FCPA enforcement action of the year highlights government focus on high-risk industries and countries

  • Alston & Bird LLP
  • -
  • USA
  • -
  • March 8 2013

In the first Foreign Corrupt Practices Act (FCPA) enforcement action of the year, the Securities and Exchange Commission (SEC) announced on February

Supreme Court to clarify “inquiry notice” standard for securities fraud statute of limitations

  • Alston & Bird LLP
  • -
  • USA
  • -
  • July 7 2009

Last month, the Supreme Court granted certiorari to clarify the much-litigated issue of when plaintiffs are deemed to have "inquiry notice" of their claims sufficient to trigger running of the statute of limitations for federal securities fraud claims

Three former employees of direct access partners plead guilty to FCPA and related charges

  • Alston & Bird LLP
  • -
  • USA
  • -
  • September 9 2013

On August 30, the Justice Department announced that three former employees of a New York-based broker-dealer, Direct Access Partners (DAP), entered

SEC adopts Final Rules and guidance defining “security-based swap dealer” and “major security-based swap participant” in cross-border transactions

  • Alston & Bird LLP
  • -
  • USA
  • -
  • July 23 2014

On June 25, 2014, the Securities and Exchange Commission (SEC) adopted the first of a series of rules on cross-border security-based swap activities

New ruling broadens “whistleblower” definition for Dodd-Frank anti-retaliation claims

  • Alston & Bird LLP
  • -
  • USA
  • -
  • October 3 2012

A U.S. district court judge from the District of Connecticut ruled last week that individuals who make disclosures that are required or protected under the Sarbanes-Oxley Act (SOX) or the Securities Exchange Act of 1934 (SEA) may also qualify as whistleblowers under the Dodd-Frank anti-retaliation provisions, regardless of how those disclosures were made

Supreme Court of the United States analyzes standard for statute of limitations for securities fraud actions

  • Alston & Bird LLP
  • -
  • USA
  • -
  • May 12 2010

The Supreme Court of the United States recently issued a decision regarding application of the statute of limitations for securities fraud actions

Senate Banking Committee holds hearing on SEC Inspector General's Sanford Report

  • Alston & Bird LLP
  • -
  • USA
  • -
  • September 23 2010

Yesterday, the Senate Banking Committee held a hearing entitled "Oversight of the SEC Inspector General's Report on the 'Investigation of the SEC's Response to Concerns Regarding Robert Allen Sanford's Alleged Ponzi Scheme' and Improving SEC's Performance."

How hedge funds and private equity firms can manage Foreign Corrupt Practices Act risks

  • Alston & Bird LLP
  • -
  • USA
  • -
  • March 27 2013

In recent years, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) have aggressively investigated and enforced both

Office of Foreign Assets Control issues guidance regarding opening securities and futures accounts

  • Alston & Bird LLP
  • -
  • USA
  • -
  • December 1 2008

The Office of Foreign Assets Control (OFAC), the division of the Treasury Department responsible for administering and enforcing economic and trade sanctions based on U.S. foreign policy and national security, has released guidance regarding the opening of securities and futures accounts

The Supreme Court makes clear defendants’ right to rebut the presumption of reliance at class certification

  • Alston & Bird LLP
  • -
  • USA
  • -
  • June 25 2014

On June 23, 2014, the Supreme Court issued its opinion in Halliburton II, in which the Court vacated the Fifth Circuit's prior ruling that denied