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Results: 1-10 of 145

FCPA enforcement cases
  • Herbert Smith Freehills LLP
  • USA
  • October 10 2012

The SEC has charged Tyco International Ltd with violating the Foreign Corrupt Practices Act by allowing subsidiaries to arrange illicit payments to foreign officials in more than a dozen countries


SEC enforcement actions and developments
  • Herbert Smith Freehills LLP
  • USA
  • October 10 2012

The SEC has issued a staff report intended to help broker-dealers to safeguard confidential information from misuse, such as insider dealing


General counsel update
  • Herbert Smith Freehills LLP
  • Mongolia, Singapore, United Kingdom, USA, China, European Union, Germany, Hong Kong, Indonesia
  • July 11 2012

This is the thirtieth in our series of general counsel updates which aim to summarise major developments in key areas


SEC liberalises the deregistration rules for non-US issuers
  • Herbert Smith Freehills LLP
  • USA
  • July 12 2007

On 21 March 2007, the SEC unanimously adopted amendments to the rules governing when non-US issuers may deregister under the Securities and Exchange Act of 1934, as amended (the “Exchange Act”) and, accordingly, terminate its reporting obligations


US Supreme Court rules that the SEC must bring enforcement actions within 5 years of the commission of misconduct (not when it was discovered)
  • Herbert Smith Freehills LLP
  • USA
  • March 1 2013

The US Supreme Court has ruled that a five-year statutory limitation period imposed under the US Code (28 U.S.C. 2462) runs from the date of


FCA publishes final changes to its rules on the use of dealing commission
  • Herbert Smith Freehills LLP
  • USA
  • May 19 2014

The Financial Conduct Authority ("FCA") has published its policy statement on Changes to the use of dealing commission rules PS 147, which covers


Contentious and regulatory issues in 2008
  • Herbert Smith Freehills LLP
  • USA, United Kingdom
  • April 14 2008

Litigation is growing in England, as it is in the US, as investors and counterparties seek to recover losses sustained in the credit crunch


Amendments to the rules for nationally recognized statistical rating organizations (NRSROs)
  • Herbert Smith Freehills LLP
  • USA
  • April 1 2009

The U.S. Credit Rating Agency Reform Act of September 2006 (the "Rating Agency Act") was passed by Congress to protect investors by improving the quality of credit ratings through increased transparency, accountability, and competition in the credit ratings industry


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"


Financial crisis: litigation
  • Herbert Smith Freehills LLP
  • United Kingdom, USA
  • October 15 2008

It is inevitable that in such a dramatic and fast-changing economic landscape, commercial counterparties are urgently considering whether and how they can protect their rights by litigation