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Corporate crime update - 13 February 2013 - United States
  • Herbert Smith Freehills LLP
  • USA
  • February 13 2013

The Securities and Exchange Commission (SEC) charged a day trader, Firas Hamdan, with defrauding investors in a supposed high-frequency trading


SEC enforcement actions and developments
  • Herbert Smith Freehills LLP
  • USA
  • December 5 2012

The SEC and Department of Justice have released a joint guide, "A Resource Guide to the U.S. Foreign Corrupt Practices Act"


Other developments and cases
  • Herbert Smith Freehills LLP
  • USA
  • December 5 2012

The US Treasury has announced that it will carry out a review of anti-money laundering rules in the US system in order to correct gaps, redunancies or inefficiencies within the system


Making information about companies public: Netflix CEO’s Facebook posting prompts SEC Wells Notice
  • Herbert Smith Freehills LLP
  • USA
  • December 10 2012

In July this year, Reed Hastings, the CEO of Netflix Inc, posted on Facebook that Netflix’s members had enjoyed over 1 billion hours in June


United States of America: uncertainty over scope of whistleblower protections under the Dodd-Frank Act
  • Herbert Smith Freehills LLP
  • USA
  • January 31 2014

The Dodd-Frank Act, enacted in 2010, offered new protections against retaliation to employees who report violations of the federal securities laws at


US SEC secures record-breaking $600m settlement in insider trading case
  • Herbert Smith Freehills LLP
  • USA
  • March 16 2013

The largest ever settlement in an insider trading case was filed yesterday, requiring hedge fund advisory firm CR Intrinsic - an affiliate of S.A.C


US whistleblowing protection for employee based in France - potential extra-territorial application of Sarbanes-Oxley provisions
  • Herbert Smith Freehills LLP
  • USA
  • March 5 2008

A recent decision of the US District Court in Manhattan has ruled that an employee of a French company, who was based in France, was entitled to claim whistleblowing protection under the US Sarbanes-Oxley Act of 2002 ("SOX"


US Supreme Court grants leave to appeal in foreign-cubed securities class action
  • Herbert Smith Freehills LLP
  • USA
  • December 4 2009

On 30 November 2009, the United States Supreme Court granted certiorari in Morrison v National Australia Bank Limited, in effect granting leave to the plaintiffs to appeal against the decision of the US Court of Appeals for the Second Circuit declining jurisdiction in that case


SEC charges attorney in insider trading scheme
  • Herbert Smith Freehills LLP
  • USA
  • January 6 2010

The Securities and Exchange Commission (SEC) has charged lawyer, Brien. P. Santarlas for disclosing non-public information about a proposed corporate acquisition relating to one of the firm's clients in exchange for kickbacks


US Supreme Court restricts the extra-territorial reach of the SEC Act
  • Herbert Smith Freehills LLP
  • Australia, USA
  • August 4 2010

On 24 June 2010, the Supreme Court of the United States handed down a decision of wide-reaching importance in Morrison v National Australia Bank