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Results: 1-10 of 389

Ninth Circuit Holds Internal Reports Protected by Dodd-Frank Whistleblower Provisions
  • Sidley Austin LLP
  • USA
  • March 10 2017

On March 8, 2017, a divided Ninth Circuit panel issued a decision finding that a company's retaliation against a whistleblower is actionable under


Department of Justice Publicizes Questions Used to Evaluate Corporate Compliance Programs
  • Sidley Austin LLP
  • USA
  • February 21 2017

On Feb. 8, the Fraud Section of the Department of Justice (DOJ) publicized new guidance, titled "Evaluation of Corporate Compliance Programs." The


Derivatives Quarterly Newsletter: 4th Quarter 2016
  • Sidley Austin LLP
  • European Union, Global, Hong Kong, United Kingdom, USA
  • February 21 2017

On October 11, 2016, the CFTC proposed rules (Proposed Cross-Border Rules) that address the cross-border application of certain of the CFTC's swaps


2017 Update for Investment Advisers
  • Sidley Austin LLP
  • USA
  • February 17 2017

Investment advisers registered with the Securities and Exchange Commission (SEC) have certain annual requirements under the Investment Advisers Act


SEC enforcement quarterly - 4th quarter 2017
  • Sidley Austin LLP
  • USA
  • February 6 2017

The SEC finished its 2016 Fiscal Year with a continued emphasis on bringing enforcement actions across numerous areas of the federal securities laws


Anti-Corruption Quarterly - 4th quarter 2017
  • Sidley Austin LLP
  • Global, USA
  • February 1 2017

2016 was one of the most significant years in FCPA enforcement. If 2015 was, as U.S. authorities claimed, a year in which authorities refocused their


FINRA Issues Its 2017 Exam Priorities
  • Sidley Austin LLP
  • USA
  • January 17 2017

On January 4, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priorities Letter (Letter) to


The Investment Funds and Advisers 2016 Year-End Client Update Recap
  • Sidley Austin LLP
  • USA
  • January 17 2017

As the developments affecting the investment management industry continue to unfold, we have once again prepared our annual compendium of relevant


First Circuit Reins In Fraud-on-the-FDA Theory
  • Sidley Austin LLP
  • USA
  • January 3 2017

In a recent opinion, the First Circuit significantly constrained the scope of the fraud-on-the-FDA theory of liability, which posits that had the FDA


Supreme Court Affirms Insider Trader Ruling in Salman v. United States
  • Sidley Austin LLP
  • USA
  • December 22 2016

On December 6, the Supreme Court unanimously affirmed a Ninth Circuit decision involving the scope of “personal benefit” required to find insider