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Results: 1-10 of 40

U.S. Securities and Exchange Commission announces new enforcement initiatives

  • Mayer Brown LLP
  • -
  • USA
  • -
  • January 20 2010

On January 13, 2010, the Division of Enforcement of the U.S. Securities and Exchange Commission announced a series of new enforcement initiatives designed to encourage greater cooperation from individuals and companies when the Commission pursues investigations and enforcement actions

Securities fraud defendant rebuts fraud-on-the-market presumption of reliance

  • Mayer Brown LLP
  • -
  • USA
  • -
  • March 11 2013

With all of the attention on last week's Amgen decision, another interesting decision addressing the fraud-on-the-market presumption of reliance in

SEC solicits comments on effect of whistleblower bounty program on existing corporate compliance programs

  • Mayer Brown LLP
  • -
  • USA
  • -
  • October 26 2010

The Dodd-Frank Act's new whistleblower provision - which entices would-be whistleblowers who provide "original information" leading to a recovery of $1 million or more in any resulting enforcement action with up to 30 percent of the total amount collected - has become a cause for concern for the architects of corporate compliance programs

Sweeping reforms expected to revolutionize Mexico’s energy sector

  • Mayer Brown LLP
  • -
  • Mexico
  • -
  • December 18 2013

The Mexican Congress has passed a sweeping energy constitutional reform bill that will open the country's energy sector to competition. The bill

US Supreme Court releases opinion in Merck & Co. v. Reynolds

  • Mayer Brown LLP
  • -
  • USA
  • -
  • April 28 2010

The Securities Exchange Act of 1934 provides that private actions alleging securities fraud are timely if they are filed within "2 years after the discovery of the facts constituting the violation" and within "5 years after such violation."

Auction rate securities (ARS) fraud claim against Merrill Lynch dismissed for failure to allege causation adequately

  • Mayer Brown LLP
  • -
  • USA
  • -
  • January 3 2011

In early December 2010, Judge Preska of the Southern District Court of New York dismissed federal claims against Merrill Lynch and other related parties based on the plaintiffs' failure to adequately plead that alleged misstatements and manipulative conduct proximately caused plaintiffs' losses

Massive whistleblower incentives included in new Wall Street reform law

  • Mayer Brown LLP
  • -
  • USA
  • -
  • July 23 2010

One key provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) is a new bounty provision that will undoubtedly lead to more FCPA, accounting fraud, and trading investigations

SEC to enhance fraud detection and enforcement efforts by centralizing tip-gathering and analysis functions

  • Mayer Brown LLP
  • -
  • USA
  • -
  • November 3 2010

The US Securities and Exchange Commission (SEC) is bolstering its tip-gathering and analysis capabilities in an effort to enhance its investigative and enforcement abilities

US SEC proposes rule prohibiting fraud, manipulation and deception in connection with security-based swaps

  • Mayer Brown LLP
  • -
  • USA
  • -
  • November 8 2010

Pursuant to the authority contained in Section 763(g) of the Dodd-Frank Act, the US Securities and Exchange Commission (SEC) in Release 34-63236 has proposed a new Rule 9j-1 under the Securities Exchange Act of 1934, as amended (Exchange Act

FCPA update: year-end 2013

  • Mayer Brown LLP
  • -
  • USA
  • -
  • January 23 2014

As a follow-up to Mayer Brown's FCPA Update: Mid-Year 2013, 1 this report covers enforcement activity of the Foreign Corrupt Practices Act (FCPA