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Results: 1-10 of 222

SEC investigation into illegal use of swaps in trading of private technology shares
  • Herbert Smith Freehills LLP
  • USA
  • July 6 2015

The SEC is understood to have subpoenaed a number of firms in connection with an investigation into the sale of private pre-IPO technology stocks


Big four settle disclosure case with SEC
  • Herbert Smith Freehills LLP
  • USA
  • February 17 2015

The SEC's administrative court approved a settlement between the SEC and the Chinese affiliates of PwC, Ernst & Young, KPMG, BDO and Deloitte, fining


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


A summary of major developments in key areas - General Counsel update September 2013
  • Herbert Smith Freehills LLP
  • Australia, Hong Kong, United Kingdom, USA
  • September 19 2013

The Large and Medium-sized Companies and Groups (Accounts and Reports) (Amendment) Regulations 2013 and changes to the Companies Act 2006 made by the


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


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


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


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


Corporate crime update - 21 March 2013 - United States
  • Herbert Smith Freehills LLP
  • USA
  • March 21 2013

The US Chamber of Commerce among others has complained that the Foreign Corrupt Practices Act is too ambiguous. Although the Justice Department and


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