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Results: 1-10 of 33

US Supreme Court extends Sarbanes-Oxley Act whistleblower protection to employees of a public company’s private contractors and subcontractors

  • Mayer Brown LLP
  • -
  • USA
  • -
  • March 24 2014

In Lawson v. FMR LLC, former employees of private companies that provide advisory and management services to mutual funds, sued under the

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

A brave new SEC? The SEC rejects proposed settlement with hedge fund Harbinger Capital and its manager Falcone

  • Mayer Brown LLP
  • -
  • USA
  • -
  • July 19 2013

In a regulatory filing made on July 19, 2013, Harbinger Group, Inc. (Harbinger Group), a publicly traded investment company, announced that the US

Southern District Court of New York holds “red flags” insufficient to allege scienter in Madoff-related federal securities class action

  • Mayer Brown LLP
  • -
  • USA
  • -
  • January 13 2011

Judge Leonard Sand of the District Court of the Southern District of New York recently dismissed securities and common law fraud claims asserted by investors against a "fund of funds" that invested with Bernard L. Madoff Securities LLC (BMIS) for failure to adequately allege scienter

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

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

Southern District of New York limits application of Morrison in criminal case

  • Mayer Brown LLP
  • -
  • USA
  • -
  • July 26 2011

On March 16, 2011, Judge Paul A. Crotty of the District Court of the Southern District of New York rejected US defendants’ motion to dismiss an indictment based on Morrison, finding that the securities, mail and wire fraud allegations did not require extraterritorial application of US laws because the crimes were ultimately committed in the United States

Vietnam issues anti-money laundering circular

  • Mayer Brown LLP
  • -
  • Vietnam
  • -
  • January 25 2011

On 24 September 2010, the Ministry of Finance (MOF) issued Circular No. 1482010TT-BTC providing guidance on the implementation of anti-money laundering measures in the sectors of insurance, securities and prize-winning games (Circular 148

Rejection of settlement with SEC may affect SEC’s securities fraud settlement policy

  • Mayer Brown LLP
  • -
  • USA
  • -
  • November 30 2011

Earlier this week, a federal district court judge in Manhattan rejected a proposed $285 million settlement between the US Securities Exchange Commission and Citigroup in a mortgage-backed securities matter

A quick look at the new SFC guidelines on disclosure of inside information

  • Mayer Brown LLP
  • -
  • Hong Kong
  • -
  • June 18 2012

Hong Kong’s new statutory price sensitive informationinside information disclosure regime (PSI Disclosure Regime) will take effect on 1 January 2013