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Ten year officer and director bar affirmed

Winston & Strawn LLP
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USA
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May 20 2013

On May 14th, the Second Circuit affirmed the ten year officer and director ban imposed against Brent Bankosky, a senior director at Takeda

The Foreign Corrupt Practices Act

Winston & Strawn LLP
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USA
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May 20 2013

The SEC recently announced two high-profile Foreign Corrupt Practices Act ("FCPA") cases. The first involved the Ralph Lauren Corporation, where the

Tiger Asia management loses final jurisdictional challenge: Hong Kong's highest court confirms court's free-standing power to grant orders over contraventions of the securities and futures ordinance under Section 213

Herbert Smith Freehills LLP
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Hong Kong
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May 16 2013

After over two and a half years since US-based hedge fund manager Tiger Asia Management LLC and its three officers (collectively "Tiger Asia") sought

With securities case dismissal, another loss in the southern district for LIBOR plaintiffs

Edwards Wildman Palmer LLP
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USA
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May 15 2013

On Monday, Southern District of New York Judge Shira Scheindlin dismissed the entire suit in Gusinsky v. Barclays, without leave to amend and with

The Dell insider trading cases

Dorsey & Whitney LLP
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USA
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May 15 2013

Anthony Chiasson, the co-founder of hedge fund Level Global Investors, was sentenced on insider trading charges this week to serve 78 months in

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

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

Budget bill would prohibit attempts to engage in fraudulent conduct under commodities legislation

Stikeman Elliott LLP
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Canada
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May 14 2013

As we discussed in a recent post, Ontario's recently-proposed budget bill would amend the Securities Act to tighten up provisions respecting insider

May 1, 2013: SEC and CFTC red flag rules become effective May 20, 2013

Porter Wright Morris & Arthur LLP
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USA
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May 14 2013

The Securities and Exchange Commission and the Commodity Futures Trading Commission have adopted rules that require most broker-dealers, mutual funds

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

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Search results

Ten year officer and director bar affirmed

The Foreign Corrupt Practices Act

Tiger Asia management loses final jurisdictional challenge: Hong Kong's highest court confirms court's free-standing power to grant orders over contraventions of the securities and futures ordinance under Section 213

With securities case dismissal, another loss in the southern district for LIBOR plaintiffs

The Dell insider trading cases

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

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

Budget bill would prohibit attempts to engage in fraudulent conduct under commodities legislation

May 1, 2013: SEC and CFTC red flag rules become effective May 20, 2013

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?

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