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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

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

PPSA model clauses for a general security agreement

King & Wood Mallesons
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Australia
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May 16 2013

Since before the operational commencement of the Personal Property Securities Act 2009 (Cth) ("PPSA") in January 2012, and certainly since then, law

Whistleblower law firm complains to SEC

Leonard, Street and Deinard
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USA
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May 17 2013

Two partners from a self-described law firm that specializes in the representation of whistleblowers have sent a letter to the SEC Commissioners

Supreme Court considering whether to accept Sarbanes-Oxley whistleblower case

Zuckerman Spaeder LLP
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USA
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May 15 2013

Only a handful of employment cases make it all the way to the Supreme Court's August chambers at One First Street. That's largely because the Court

SEC raises private equity fund broker-dealer concerns

Whiteford Taylor & Preston LLP
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USA
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May 5 2013

In remarks before the American Bar Association's Trading and Markets Subcommittee, the Chief Counsel of the SEC's Division of Trading and Markets

OSFI’s new expectations with respect to the governance of federally-regulated financial institutions

Lavery de Billy LLP
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Canada
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March 20 2013

The quality of corporate governance practices increasingly represents a key factor to maintaining the trust of depositors, policyholders and most

Financial services legislative and regulatory issues update May 20

Mintz Levin Cohn Ferris Glovsky and Popeo PC
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USA
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May 20 2013

The conflation of three scandals clearly tainted President Obama with The Washington Post’s “Worst Week in Washington” award last week, and in fact

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

This week at the UK regulators - 7 May 2013

Clifford Chance LLP
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United Kingdom
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May 7 2013

The FCA has remained active on all fronts during the past week. It has charged more individuals in connection with criminal investigations into

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Search results

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?

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

PPSA model clauses for a general security agreement

Whistleblower law firm complains to SEC

Supreme Court considering whether to accept Sarbanes-Oxley whistleblower case

SEC raises private equity fund broker-dealer concerns

OSFI’s new expectations with respect to the governance of federally-regulated financial institutions

Financial services legislative and regulatory issues update May 20

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

This week at the UK regulators - 7 May 2013

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