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Results: 1-10 of 54

This week in securities litigation (week ending May 2, 2014)
  • Dorsey & Whitney LLP
  • United Kingdom, USA
  • May 1 2014

Chair Mary Jo White testified before Congress this week. Her testimony focused on the budget, reviewing the recent work of the agency. The Commission


A tale of two Ponzi schemes
  • Dorsey & Whitney LLP
  • United Kingdom, USA
  • September 19 2012

Ponzi schemes seem to be everywhere


FSA settles a market crisis case with UBS
  • Dorsey & Whitney LLP
  • United Kingdom
  • February 13 2013

The UK Financial Services Authority announced a settled market crisis action in which UBS was fined £9.45 million for exposing sophisticated


This week in securities litigation (week ending October 26, 2012)
  • Dorsey & Whitney LLP
  • Hong Kong, United Kingdom, USA
  • October 26 2012

The focus this week was on white collar criminal securities cases


This week in securities litigation (week ending February 28, 2014)
  • Dorsey & Whitney LLP
  • Canada, Hong Kong, Japan, United Kingdom, USA
  • February 27 2014

The Supreme Court handed down a significant decision, construing SLUSA in the context of suits by investors defrauded investors in the Stanford Ponzi


ABI guidance on share allotment authorities, BERR consultation on notice periods for meetings, FSA clarifies disclosure requirements
  • Dorsey & Whitney LLP
  • United Kingdom
  • January 20 2009

The Association of British Insurers (ABI) has recently issued new guidance on the extent of the general allotment authority (under s.80, Companies Act 1985) which it regards as acceptable for listed companies


Shareholder meetings - some important changes
  • Dorsey & Whitney LLP
  • United Kingdom
  • August 28 2009

The Shareholder Rights Directive ("Directive") was implemented in the UK with effect from 3 August 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


Fine for corrupt city stockbroker
  • Dorsey & Whitney LLP
  • United Kingdom
  • July 23 2010

Simon Eagle, a former city stockbroker was given a £2.8 million fine for his part in a share ramping scheme


The UK’s Bribery Act of 2010: the obligations and risks it imposes on US employers with business in the UK
  • Dorsey & Whitney LLP
  • United Kingdom, USA
  • February 21 2011

The UK Bribery Act is expected to come into force shortly