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Results: 1-10 of 1,077

Hong Kong Market Misconduct: SFC Extends Enforcement Power to Insider Dealing in Overseas Listed Securities - Part 2
  • Dorsey & Whitney LLP
  • Hong Kong
  • April 21 2016

Section 300 of the Securities and Futures Ordinance (the “SFO”) prohibits the use of fraudulent or deceptive schemes or engagement in any practice


Hong Kong Market Misconduct: The SFC’s Extra-Territorial Reach - Part 1
  • Dorsey & Whitney LLP
  • Hong Kong
  • March 21 2016

The Securities and Futures Commission of Hong Kong (the "SFC") recently initiated proceedings for alleged market misconduct against U.S.-based


A new fraud: the impersonation of CEOs
  • Dorsey & Whitney LLP
  • China
  • November 3 2015

One of the newest trends in fraud is the impersonation of a senior executive, such as a CEO, to induce an employee to bypass the usual procedures and


The SEC in the office fails to deter insider trader
  • Dorsey & Whitney LLP
  • USA
  • September 17 2014

The theory of "broken windows," the enforcement approach being pursued by the SEC, is that prosecuting all violations large and small creates


The origins of the FCPA: lessons for effective compliance and enforcement part three
  • Dorsey & Whitney LLP
  • USA
  • September 16 2014

The foreign payments cases held the organization and the individuals involved accountable while improving corporate governance for the benefit of the


The origins of the FCPA: lessons for effective compliance and enforcement: part two
  • Dorsey & Whitney LLP
  • USA
  • September 14 2014

The preliminary inquiry was followed by formal SEC investigations early in 1974. The resulting cases would become known as the “illicit or foreign


SEC USAO file actions based on scheme to conceal ownership
  • Dorsey & Whitney LLP
  • USA
  • September 10 2014

Building on an undercover sting operation, the SEC filed an enforcement action against two individuals and their controlled entity. They are alleged


The origins of the FCPA: lessons for effective compliance and enforcement
  • Dorsey & Whitney LLP
  • USA
  • September 9 2014

Can one man make a difference? Stanley Sporkin is proof that the answer is “yes.” In the early 1970s he sat fixated by the Watergate Congressional


This week in securities litigation (week ending August 28, 2014)
  • Dorsey & Whitney LLP
  • USA
  • August 28 2014

In the roll-up to the Labor Day weekend, the SEC issued new rules regarding asset backed securities and credit rating agencies. The Commission also


SEC USAO charge IR Executive with insider trading
  • Dorsey & Whitney LLP
  • USA
  • August 27 2014

The SEC may be developing theme based insider trading cases. In recent weeks the agency brought two insider trading actions centered on golfing