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Results: 1-10 of 311

Corporate governance update September 2014

  • Kelley Drye & Warren LLP
  • -
  • USA
  • -
  • October 10 2014

In early September, the SEC announced charges against 28 officers, directors, or major shareholders for violating federal securities laws requiring

SEC settles multiple enforcement actions for failure to timely file reports of beneficial ownership

  • Vedder Price PC
  • -
  • USA
  • -
  • October 14 2014

On September 10, 2014, the SEC settled charges against a number of directors and officers, companies and significant stockholders for failing to

Accounting firm sanctioned for allegedly removing adverse information from report filed with regulator regarding client’s non-compliance with AML requirements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 1 2014

PriceWaterhouseCoopers was fined US $25 million and suspended from accepting certain consulting engagements at financial institutions overseen by the

SEC renews focus on insider trading in private company stock

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 20 2011

On December 12, 2011, the SEC announced an enforcement proceeding that serves as a useful reminder that the federal laws against insider trading and misrepresentation apply as forcefully to private companies purchasing stock from employees and other shareholders as they do in the public company setting

Common mistakes, problems and concerns companies face during implementation and maintenance of corporate compliance programs

  • Burr & Forman LLP
  • -
  • USA
  • -
  • March 26 2014

An effective corporate compliance program is an essential component of internal controls for uncovering and preventing ethical lapses and criminal

Your FCPA good housekeeping: safeguards, procedures and the spouse eye-roll test

  • DLA Piper LLP
  • -
  • USA
  • -
  • September 24 2014

FCPA awareness and enforcement has exploded since 2002, but one thing remains the same: the most vexing part of the statute for companies, in terms

SEC’s “gatekeeper” enforcement initiative impacts directors

  • Drinker Biddle & Reath LLP
  • -
  • USA
  • -
  • September 26 2014

Senior SEC officials have become increasingly vocal in recent months about the roles and responsibilities of corporate "gatekeepers" and the need to

Corporate veil allegations survive motion to dismiss in embezzlement case

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 22 2010

The U.S. District Court for the Northern District of Illinois denied defendants’ motion to dismiss, ruling that, among other things, plaintiff properly pled the elements for piercing the corporate veil where there were particular allegations demonstrating a “unity of interest” between the individual and corporate defendants

The Second Circuit reinstates a securities fraud suit against Grant Thornton involving its audit of Winstar Communications’ 1999 financial statements

  • Simpson Thacher & Bartlett LLP
  • -
  • USA
  • -
  • July 30 2012

On July 19, 2012, the Second Circuit vacated a district court order granting summary judgment in favor of Grant Thornton LLP (“GT”) in a securities fraud action arising from GT’s audit of Winstar Communications, Inc.’s 1999 financial statements

Delaware Supreme Court adopts fiduciary exception to attorney-client privilege

  • Hogan Lovells
  • -
  • USA
  • -
  • September 15 2014

The Delaware Supreme Court has issued a decision that may affect how US corporations conduct investigations and communicate with their attorneys