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Market Abuse Update January 2016
  • Herbert Smith Freehills LLP
  • European Union, United Kingdom, USA
  • January 13 2016

In September, the European Securities and Markets Authority (ESMA) published the final draft of its technical standards for the Market Abuse

Ninth Circuit insider trading ruling may conflict with Second Circuit's Newman decision
  • Herbert Smith Freehills LLP
  • USA
  • July 10 2015

The Ninth Circuit, in a decision issued on July 6, 2015, has upheld the insider trading conviction of Bassam Yacoub Salman for insider trading

Corporate Crime Update - May 2015 - United States
  • Herbert Smith Freehills LLP
  • USA
  • May 21 2015

On February 24, 2015, the Securities and Exchange Commission (the "SEC") announced a settlement with Goodyear Tire & Rubber Company ("Goodyear") in

Market abuse update April 2015
  • Herbert Smith Freehills LLP
  • Australia, European Union, United Kingdom, USA
  • April 16 2015

2014 was marked by record fines for benchmarkmManipulation globally, criminal prosecutions for insider trading and market manipulation, and the first

Corruption trends and global outlook
  • Herbert Smith Freehills LLP
  • United Kingdom, USA
  • December 16 2015

We are at a pivotal point in the global fight against corruption, with new allegations surfacing daily that implicate the world's most powerful

US: SEC targets confidentiality agreements in first-ever whistleblower protection enforcement action
  • Herbert Smith Freehills LLP
  • USA
  • July 21 2015

The Securities and Exchanges Commission has settled its first enforcement action against a company for “improperly restrictive language in

US and Chinese financial intelligence units sign memorandum of understanding to facilitate information sharing
  • Herbert Smith Freehills LLP
  • China, USA
  • December 17 2015

Following high-level meetings in September which set the objective of strengthening bilateral regulatory, supervisory and law enforcement

US: FINRA issues new rules for equity and debt research
  • Herbert Smith Freehills LLP
  • USA
  • September 4 2015

The Financial Industry Regulatory Authority (FINRA) has issued two new equity and debt research rules, which have been approved by the SEC. New FINRA

New York Attorney General investigates energy companies regarding climate disclosures
  • Herbert Smith Freehills LLP
  • USA
  • November 16 2015

The New York Attorney General's office ("NYAG") has recently initiated securities fraud investigations of energy companies based on possible

Corporate Crime Update - January 2016 - United States
  • Herbert Smith Freehills LLP
  • USA
  • January 29 2016

We reported in October 2015 that medical imaging firm Analogic Corp had disclosed its proposal to pay $1.6 million to settle a Foreign Corrupt