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Results: 1-10 of 160

US and HK regulators in pursuit of credit rating and research firms
  • Herbert Smith Freehills LLP
  • Hong Kong, USA
  • February 3 2015

On 21 January 2015, the United States (US) Securities Exchange Commission (SEC) announced sanctions against credit rating firm, Standard & Poor's


USA: highest ever SEC whistleblower bounty awarded
  • Herbert Smith Freehills LLP
  • USA
  • October 16 2014

On September 22, the SEC reported that it expected to provide an award of more than $30 million to a whistleblower who provided key information which


Three different approaches to RICO extraterritoriality
  • Herbert Smith Freehills LLP
  • USA
  • December 11 2014

It is not uncommon for courts today to adjudicate claims arising outside their territorial jurisdiction. Some jurisdictions, such as the US, stand


SEC lifts general solicitation ban for Rule 144A and Rule 506 offerings
  • Herbert Smith Freehills LLP
  • USA
  • July 17 2013

The US Securities and Exchange Commission adopts final rules eliminating the prohibition on general solicitation and general advertising in Rule 144A


Supreme Court provides new avenue for defendants to challenge securities class certification
  • Herbert Smith Freehills LLP
  • USA
  • June 25 2014

On June 23, 2014, the United States Supreme Court issued a highly anticipated unanimous decision in Halliburton v. Erica P. John Fund, Inc. The Court


Corporate crime update September 2013 - United States
  • Herbert Smith Freehills LLP
  • USA
  • September 20 2013

A federal jury in New York has found Fabrice Tourre liable for fraud for misleading investors in a complex financial product


Corporate crime update - May 2013 - United States
  • Herbert Smith Freehills LLP
  • USA
  • May 23 2013

Bryan Shaw, a Californian jeweller, has pleaded guilty to one count of conspiracy to commit securities fraud. Shaw has admitted taking tips on


US federal appeals court limits extraterritorial application of anti-fraud provisions of the U.S. federal securities laws
  • Herbert Smith Freehills LLP
  • USA
  • September 3 2014

The US Court of Appeals for the Second Circuit inParkcentral Global Hub Limited v. Porsche Automobile Holdings, SE, 11-397-CV (2d Cir. N.Y. Aug. 15


USA: Developments in whistleblower employee protections
  • Herbert Smith Freehills LLP
  • USA
  • July 18 2014

The last several months have seen several important developments related to whistleblower employee protections in the United States. In March 2014


US federal appeals court vacates insider trading convictions of hedge fund traders
  • Herbert Smith Freehills LLP
  • USA
  • December 11 2014

The US Court of Appeals for the Second Circuit in United States v. Newman, 13-1837 (2d Cir. Dec. 10, 2014), vacated the convictions of two former