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Results: 1-10 of 204

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


Market abuse update
  • Herbert Smith Freehills LLP
  • Australia, European Union, France, Hong Kong, United Kingdom, USA
  • December 15 2014

The FCA has continued to build on the strong track record of civil and criminal enforcement action against abusive conduct and manipulation, notably


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


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

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


General Counsel Update - June 2013 - A summary of major developments in key areas
  • Herbert Smith Freehills LLP
  • Australia, European Union, Singapore, United Kingdom, USA
  • June 21 2013

The Companies Act 2006 (Strategic Report and Directors' Report) Regulations 2013 (Regulations) to amend the structure of UK annual reports have


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


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


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


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