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Results: 1-10 of 324

BHP Billiton settles with SEC for $25 million for providing foreign officials with luxury travel to Olympics
  • Schulte Roth & Zabel LLP
  • USA
  • May 21 2015

The U.S. Securities and Exchange Commission ("SEC") on May 20, 2015 announced a settlement with global resources company BHP Billiton over


New SEC cybersecurity guidance: what it means for fund managers
  • Schulte Roth & Zabel LLP
  • USA
  • May 4 2015

Cybersecurity continues to be a priority for the Securities and Exchange Commission. The SEC's Office of Compliance Inspections and Examinations


SEC whistleblower case challenges restrictive language in confidentiality agreements
  • Schulte Roth & Zabel LLP
  • USA
  • April 10 2015

On April 1, 2015, the Securities and Exchange Commission (“SEC”) announced its first enforcement action against a company for using language in a


SEC cybersecurity update: OCIE Risk Alert provides insights for private fund managers on SEC cybersecurity examinations
  • Schulte Roth & Zabel LLP
  • USA
  • February 4 2015

Earlier this week, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert1 providing observations derived from its


AICPA issues additional conflict minerals audit guidance: an overview and suggested action items for registrants
  • Schulte Roth & Zabel LLP
  • USA
  • January 29 2015

The American Institute of Certified Public Accountants has published additional guidance relating to the independent private sector audit (IPSA


Newman’s aftermath: district court vacates four insider trading guilty pleas; government seeks rehearing in Second Circuit
  • Schulte Roth & Zabel LLP
  • USA
  • January 27 2015

Last week saw two significant developments for insider trading law stemming from the Second Circuit's important decision in U.S. v. Newman, 773 F.3d


Conflict minerals resource center
  • Schulte Roth & Zabel LLP
  • USA
  • January 9 2015

On August 22, 2012, the U.S. Securities and Exchange Commission adopted Rule 13p-1 under the Exchange Act, which is known as the “Conflict Minerals


Second Circuit clarifies insider trading liability of tippees
  • Schulte Roth & Zabel LLP
  • USA
  • December 15 2014

In its highly anticipated decision in U.S. v. Newman, the U.S. Court of Appeals for the Second Circuit held on Dec. 10 that to sustain insider


D.C. Court of Appeals grants rehearing of Conflict Minerals Rule decision
  • Schulte Roth & Zabel LLP
  • USA
  • November 18 2014

Now in its third year, the challenge to the SEC's Conflict Minerals Rule ("the Rule") continues. Today, the Court of Appeals for the D.C. Circuit


Conflict minerals reporting: a review of calendar year 2013 filings and recommendations for calendar year 2014 compliance
  • Schulte Roth & Zabel LLP
  • USA
  • September 17 2014

On June 2, 2014, the first filings under the Conflict Minerals Rule which related to calendar year 2013 were due. In this White Paper, we discuss