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Results: 1-10 of 42

SEC freezes UK hedge fund assets

  • Sutherland Asbill & Brennan LLP
  • -
  • United Kingdom, USA
  • -
  • June 3 2008

The SEC issued a release stating that the High Court of Justice in London, at the SEC’s request, has issued an order freezing assets held in the United Kingdom by Glenn Manterfield, a citizen of the United Kingdom and a resident of Sheffield, England

Morrison v National Australia Bank

  • Herbert Smith Freehills LLP
  • -
  • United Kingdom, USA
  • -
  • July 1 2010

In a decision of great significance to non-US issuers and their shareholders, the US Supreme Court has clarified and restricted the extra-territorial application of the anti-fraud provisions of US federal securities laws

International regulatory update 4 Feb-8 Feb 2013

  • Clifford Chance LLP
  • -
  • European Union, Germany, Global, Hong Kong, Singapore, United Kingdom, USA
  • -
  • February 11 2013

EMIR: European Parliament’s resolution to reject Delegated regulations withdrawn; MiFID review: EU Council Presidency publishes Compromise texts

Madoff and Stanford: new ways of resolving the same old issues

  • RPC
  • -
  • United Kingdom, USA
  • -
  • February 3 2010

The arrests of Bernard Madoff and Allen Stanford in December 2008 and June 2009 respectively, and the resulting litigation and investigations, have prompted a raft of notifications to D&O, PI and FidelityBBB policies since late 2008

Madoff-related developments

  • Winston & Strawn LLP
  • -
  • United Kingdom, USA
  • -
  • February 8 2010

A series of events occurred this week relating to Bernard Madoff's Ponzi scheme

Whisleblowers granted bounties and protection from SEC and CFTC in US financial reform law

  • Freshfields Bruckhaus Deringer LLP
  • -
  • United Kingdom, USA
  • -
  • July 21 2010

With the signing of the Dodd-Frank Wall Street Reform and Consumer Protection Act into law this week, the US government quietly introduced two parallel whisleblower programs that will provide powerful financial incentives for individuals to report suspected securities or commodities trading violations to the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC

The impact of heightened FSASEC cross-border cooperation

  • Reed Smith LLP
  • -
  • United Kingdom, USA
  • -
  • March 30 2010

Within financial regulatory enforcement there has long been a culture of cooperation between national regulatory authorities

Directors' and officers' insurance policies should be reviewed in light of anticipated increase in whistleblowing activity instigated by the Dodd-Frank Act and the UK Bribery Act

  • Squire Sanders
  • -
  • United Kingdom, USA
  • -
  • January 5 2011

The Dodd-Frank Act contains a number of controversial provisions, but perhaps none more so than mandatory payment of a substantial bounty to individuals who provide "original information" to the Securities and Exchange Commission (SEC) leading to fines in excess of US$1 million

Trends in FCPA and international anti-corruption enforcement

  • Jones Day
  • -
  • Global, United Kingdom, USA
  • -
  • April 27 2011

Enforcement of the Foreign Corrupt Practices Act (FCPA) reached unprecedented levels in 2010, as the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) levied double the financial penalties imposed in 2009

This week in securities litigation (February 4, 2011)

  • Dorsey & Whitney LLP
  • -
  • United Kingdom, USA
  • -
  • February 4 2011

Dodd-Frank, insider trading and the FCPA continue were key to securities regulation and enforcement this week

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