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 8,136

NY-based broker-dealer sanctioned by FINRA for not having adequate procedures to ensure employee did not trade on insider information

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 1 2015

First New York Securities LLC was fined US $400,000 for failing to have adequate systems and controls to detect insider trading by Kenneth Allen, a

SEC settles with global manufacturer over FCPA violations

  • BuckleySandler LLP
  • -
  • USA
  • -
  • March 1 2015

On February 24, the SEC announced charges against a global manufacturer for alleged violations of the FCPA involving bribes paid by its African

Goodyear pays for the sins of its subsidiaries in a $16 million FCPA settlement

  • Proskauer Rose LLP
  • -
  • USA
  • -
  • February 27 2015

Following recent trends, the U.S. Securities and Exchange Commission brought an administrative proceeding against a U.S. issuer for the corrupt

M&A due diligence FCPA & Goodyear

  • Barnes & Thornburg LLP
  • -
  • USA
  • -
  • February 27 2015

On Feb. 24, 2015, the SEC announced charges against Goodyear Tire & Rubber Company for violating the Foreign Corrupt Practices Act (FCPA). These

Joint SECState enforcement action against New York hedge fund manager for stealing funds from investors

  • Foley & Lardner LLP
  • -
  • USA
  • -
  • February 27 2015

In a joint enforcement action, the office of the New York State Attorney General and the SEC's New York Regional Office recently took enforcement

Anti-money laundering remains at forefront of compliance in Nevada gaming industry

  • Duane Morris LLP
  • -
  • USA
  • -
  • February 27 2015

There is a lot of talk in the Nevada gaming industry about anti-money laundering efforts. In 1970, Congress passed the Bank Secrecy Act, which

SEC may seek companies’ agreements to determine whistleblower treatment

  • Morgan Lewis & Bockius LLP
  • -
  • USA
  • -
  • February 27 2015

According to a February 25 Wall Street Journal article titled "SEC Probes Companies' Treatment of Whistleblowers," the U.S. Securities and Exchange

Investment management legal regulatory update - February 2015

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • February 26 2015

On February 9, 2015, the Securities and Exchange Commission (SEC) proposed amendments to its rules to implement Section 955 of the Dodd-Frank Wall

SEC emphasizes cooperation and M&A due diligence in $16m Goodyear FCPA settlement

  • Dentons
  • -
  • USA
  • -
  • February 26 2015

On February 24, 2015, the US Securities and Exchange Commission announced a settlement with The Goodyear Tire and Rubber Company (Goodyear) pursuant

Another SEC whistleblower amicus brief on whether Dodd-Frank covers internal complaints

  • Proskauer Rose LLP
  • -
  • USA
  • -
  • February 26 2015

On February 6, the SEC filed its third amicus brief defending its interpretive rule on Dodd-Frank’s anti-retaliation provision, 15 U.S.C. 78u-6(h)(1