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Results: 1-10 of 25

Two regulators, two stockbrokers and two fraudulent schemes
  • Dorsey & Whitney LLP
  • United Kingdom, USA
  • November 7 2012

November 5, 2012 proved to be a significant day for financial regulators


This week in securities litigation (week ending October 26, 2012)
  • Dorsey & Whitney LLP
  • Hong Kong, United Kingdom, USA
  • October 26 2012

The focus this week was on white collar criminal securities cases


This week in securities litigation (week ending April 4, 2014)
  • Dorsey & Whitney LLP
  • Australia, Hong Kong, United Kingdom, USA
  • April 3 2014

High speed trading and insider trading were key topics this week. Author Michael Lewis released a new book on high speed trading and, in an interview


Anti-corruption digest - June 2013
  • Dorsey & Whitney LLP
  • Global, United Kingdom, USA
  • June 21 2013

French oil and gas giant Total SA has entered into a three-year deferred prosecution agreement ("DPA") with the U.S. Department of Justice ("DOJ") to


This week in securities litigation (week ending May 2, 2014)
  • Dorsey & Whitney LLP
  • United Kingdom, USA
  • May 1 2014

Chair Mary Jo White testified before Congress this week. Her testimony focused on the budget, reviewing the recent work of the agency. The Commission


This week in securities litigation (week ending November 30, 2013)
  • Dorsey & Whitney LLP
  • Hong Kong, United Kingdom, USA
  • December 1 2013

This week the SEC and the DOJ filed FCPA Actions against oil services company Weatherford International. The company became the newest member of the


This week in securities litigation (week ending May 30, 2014)
  • Dorsey & Whitney LLP
  • Hong Kong, United Kingdom, USA
  • May 29 2014

In a holiday shortened week, the SEC filed actions based on the malfeasance at a transfer agent, financial fraud, insider trading and investment fund


This week in securities litigation (week ending September 19, 2014)
  • Dorsey & Whitney LLP
  • Australia, Hong Kong, United Kingdom, USA
  • September 19 2014

The Commission continued with broken windows this week. Twenty Rule 105 short selling cases were filed in a group. Last week another group of broken


A comparative regulatory guide to listing in Hong Kong, London, New York and Toronto
  • Dorsey & Whitney LLP
  • Canada, Hong Kong, United Kingdom, USA
  • February 10 2010

There are two listing standards for NYSE: the Non-U.S. Standards for non-U.S. companies (which is further subdivided into two sets of standards worldwide and domestic under which non-U.S. companies may qualify for listing) and the U.S. Standards for domestic companies


This week in securities litigation (September 16, 2011)
  • Dorsey & Whitney LLP
  • United Kingdom, USA
  • September 16 2011

As the week drew to a close, reports surfaced of a rogue trader who had run up $2 billion in trading losses at UBS in London while the SEC reportedly is expanding its market crisis probe