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 275

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


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


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


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


“Individual accountability for corporate wrongdoing”: a sea change or not?
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • September 15 2015

On Thursday, September 10, 2015, Deputy Attorney General Sally Quillian Yates delivered remarks announcing a memorandum delivered to all federal


Government contracting abroad: beware compliance risks
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • June 24 2015

On June 16, 2015, IAP Worldwide Services Inc., a private defense and government contracting company, agreed to pay $7.1 million to settle criminal


SCOTUS: no unlimited suspension of the statute of limitations under the False Claims Act; “first-to-file” doctrine does not bar related suits in perpetuity
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • May 27 2015

In an opinion released May 26, 2015, Kellogg Brown & Roots Services, Inc. v. United States ex rel. Carter, the U.S. Supreme Court unanimously held