We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 440

SEC Announces Settlement with Investment Advisory Firm Regarding Alleged Failure to Disclose Costs to Investors
  • McGuireWoods LLP
  • USA
  • July 22 2016

On July 14, 2016, the Securities and Exchange Commission announced the settlement of an enforcement action against RiverFront Investment Group


SEC Loses Chief of the SEC’s Office of the Whistleblower
  • McGuireWoods LLP
  • Ireland, USA
  • July 14 2016

On Friday, July 8, 2016, the Securities and Exchange Commission (SEC) announced Sean McKessey, Chief of the SEC's Office of the Whistleblower, will


DOJ’s First Corporate Enforcement Action Under Pilot Program
  • McGuireWoods LLP
  • USA
  • July 5 2016

In April 2016, the Department of Justice (DOJ) announced its Foreign Corrupt Practices Act Enforcement Plan and Guidance, which includes a one-year


SEC’s IT Security Under Attack as It Attacks Others
  • McGuireWoods LLP
  • USA
  • June 21 2016

The inspector general (IG) of the U.S. Securities and Exchange Commission (SEC) reported last week that the SEC has not sufficiently implemented


SEC Highlights Model Response to Evidence of FCPA Violations, Announces Non-Prosecution Agreements
  • McGuireWoods LLP
  • USA
  • June 17 2016

On June 7, the Securities and Exchange Commission (SEC) announced two non-prosecution agreements (NPAs) following a pair of investigations into


A Circuit Split is Born. Eleventh Circuit Rules Declaratory Relief and Disgorgement Sought by the SEC Are Subject to 5-Year Statute of Limitations. Injunctive Relief is Not
  • McGuireWoods LLP
  • USA
  • June 6 2016

On May 26th, the Eleventh Circuit held that declaratory relief and disgorgement sought by the SEC are subject to the 5-year statute of limitations


The SDNY Provides Guidance on a Company’s Duty to Disclose Government Investigations
  • McGuireWoods LLP
  • USA
  • May 31 2016

Due to the absence of instructive case law and interpretative guidance from the U.S. Securities and Exchange Commission (SEC), companies are often


Dodd-Frank Act Section 956: European-Style Compensation Reforms Coming to a Bank Near You
  • McGuireWoods LLP
  • USA
  • May 17 2016

Earlier this month, six federal agencies each released a re-proposal of rules (the New Rules) on incentive compensation reforms under Section 956 of


Financial Industry Associations Agree on Common Cybersecurity Principles
  • McGuireWoods LLP
  • Global, USA
  • May 15 2016

On May 9, 2016, the International Swaps and Derivatives Association, the European Banking Federation, and the Global Financial Markets Association


CFPB Proposes New Rule Against Mandatory Arbitration Clauses That Preclude Participation in Class Action Suits
  • McGuireWoods LLP
  • USA
  • May 5 2016

Today the Consumer Financial Protection Bureau announced that it is issuing and seeking public comment on new proposed regulations that would