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Results: 1-10 of 30

The future of admitting when settling SEC enforcement actions: some initial considerations
  • Jones Day
  • USA
  • June 24 2013

Whether the Securities and Exchange Commission ("SEC") should continue its longstanding policy of permitting enforcement action defendants to settle


Government's annual certification claims under the FCA take a hit in federal court in California in a case involving individual liability
  • Jones Day
  • USA
  • November 8 2013

In a decision dated November 5, 2013, United States v. Reunion Mortgage, Inc., David Thayer and Kent Harvey, Case No. 13-02340 SBA (N.D. Ca.), a


New York State Department of Financial Services proposes comprehensive Bitcoin regulations
  • Jones Day
  • USA
  • August 29 2014

The New York State Department of Financial Services ("DFS") recently became the first state regulator to propose a regulatory framework for the


Federal appellate court rules that the FCPA prohibits corrupt payments to certain foreign government-owned businesses
  • Jones Day
  • USA
  • May 23 2014

For the first time since the enactment of the Foreign Corrupt Practices Act ("FCPA"), a federal appellate court has defined what constitutes an


PCAOB proposes important changes to audit reports
  • Jones Day
  • USA
  • September 5 2013

The Public Company Accounting Oversight Board ("PCAOB") recently proposed new auditing standards that, if adopted, would substantially expand the


SEC charges hedge fund manager and bond salesman in first insider trading case involving credit default swaps
  • Jones Day
  • USA
  • May 28 2009

On May 5, 2009, the U.S. Securities and Exchange Commission ("SEC") brought an action in the U.S. District Court for the Southern District of New York alleging the "the first insider trading enforcement action involving credit default swaps."


The New York State Department of Financial Services: leading the charge to regulate Bitcoin
  • Jones Day
  • USA
  • September 30 2013

As we have previously written, the New York Department of Financial Services ("DFS") is emerging as an aggressive regulator of financial


Outside directors fail to heed red flags and wind up in SEC hurricane
  • Jones Day
  • USA
  • March 9 2011

The SEC recently sued three former outside directors of DHB Industries, alleging that the three were "willfully blind" to the company's fraudulent accounting practices


SEC action against Office Depot highlights Regulation FD prohibition on "indirect guidance"
  • Jones Day
  • USA
  • November 11 2010

In the third Regulation FD enforcement action in the last 13 months, on October 21, 2010, the Securities and Exchange Commission brought enforcement actions against Office Depot, Inc. ("Office Depot") and its now former CEO and CFO


Ten questions every director should ask about FCPA compliance
  • Jones Day
  • USA
  • September 22 2010

On August 8, 2010, the chairman of China North East Petroleum's audit committee, Robert Bruce, tendered his "noisy resignation" from the company's board of directors