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Results: 1-10 of 282

In Wake of Panama Papers Scandal Obama Calls for Stricter Bank Regulations, Tax Rules
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • May 6 2016

In a news conference today President Obama addressed rules and proposed regulations announced Thursday intended to help the U.S. fight tax evasion


Eighth Circuit Reverses District Court for Ignoring Price-Impact Evidence That Rebutted the Fraud-on-the-Market Presumption and Defeated Class Certification
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • May 6 2016

In IBEW Local 98 Pension Fund v. Best Buy Co., Inc., No. 14-3178 (8th Cir. Apr. 12, 2016), the United States Court of Appeals for the Eighth Circuit


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


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 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