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Results: 1-10 of 14

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


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


The Department of Financial Services: New York's newest financial regulator
  • Jones Day
  • USA
  • December 7 2011

A new financial regulator recently opened its doors for business in New York and instantly became a formidable agency with broad regulatory powers, including the authority to bring both criminal and civil law enforcement actions


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."


Chinese companies trading in U.S. face increased scrutiny by SEC, Congress, and private plaintiffs
  • Jones Day
  • China, USA
  • January 20 2011

Several Chinese companies brought onto public United States stock markets through reverse mergers with existing U.S. issuers have been the focus of recent investigations, enforcement actions, and private civil litigation


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


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 brings hiring practices into FCPA focus
  • Jones Day
  • USA
  • September 9 2015

The SEC recently fined Bank of New York Mellon ("BNY Mellon") nearly $15 million for allegedly violating provisions of the Foreign Corrupt Practices


SEC flexes its muscle on accounting fraud and targets more individuals
  • Jones Day
  • USA
  • September 17 2015

The Securities and Exchange Commission recently announced the settlement or filing of a number of significant accounting fraud cases. Coupled with


SEC Enforcement in Financial Reporting and Disclosures2015 Update
  • Jones Day
  • USA
  • February 23 2016

We are pleased to offer our clients and friends this update on financial reporting and issuer disclosure enforcement activity in 2015. It will focus