We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 278

What is a “Personal Benefit” for Insider Trading Tippee Liability?
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • March 9 2016

On February 29, 2016, in Securities and Exchange Commission v. Payton et al, a jury found two stockbrokers liable for trading on confidential tips


The Benefit of the Doubt: SEC Scores an Insider Trading Win Despite Newman’s Personal Benefit Requirement
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • March 9 2016

On February 29, 2016, in Securities and Exchange Commission v. Payton et al, a jury found two stockbrokers liable for trading on confidential tips


The Day of North Korea Sanctions: the UN Imposes the Toughest North Korea Sanctions Yet While OFAC and State Designate More North Korean Entities
  • Sheppard Mullin Richter & Hampton LLP
  • North Korea, USA
  • March 3 2016

After weeks of negotiations and a Putin-backed delay, the UN Security Council unanimously adopted resolution 2270 on March 2, 2016, imposing new


SEC Releases 2016 Examination Priorities
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • February 2 2016

On January 11, 2016 the Office of Compliance Inspections and Examinations (the “OCIE”) for the Securities and Exchange Commission (the “SEC”


When Voluntary Self-Disclosure Isn’t so Voluntary: SEC Says Self-Disclose or Forfeit Non-Prosecution and Deferred Prosecution
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • January 6 2016

You may have heard of the Yates Memorandum, which sets forth current Justice Department policy on corporate cooperation with criminal investigations


Ninth Circuit severely limits “rogue employee” exception for corporations in securities fraud cases
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • November 23 2015

In an issue of first impression, the Ninth Circuit Court of Appeals recently held that a rogue corporate officer's fraudulent intent can be imputed


Forward to the past: NYSE returns to regulation
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • November 23 2015

Everything old is new again. On January 1, 2016, the New York Stock Exchange ("NYSE") - now owned by Intercontinental Exchange, Inc. - will be taking


SEC fines advisers for allocating compliance expenses to funds
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • November 19 2015

On November 5, 2015, the SEC settled its action against two affiliated investment advisers to private equity funds concerning allegations that the


The Schrems decision: how the end of Safe Harbor affects your FCPA compliance plan
  • Sheppard Mullin Richter & Hampton LLP
  • European Union, USA
  • November 12 2015

Like a needle to a balloon, the Schrems decision has drastically altered the data privacy landscape. Who is affected? Everyone - consumers


SEC charges investment adviser for failure to disclose acceleration of monitoring fees and discounts on legal fees
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • October 13 2015

On October 7, 2015, the Securities and Exchange Commission (the "SEC") announced that three private equity fund advisers with The Blackstone Group