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SFC brings first MMT proceedings against listed company and its officers for breach of disclosure requirements under Part XIVA of the Securities and Futures Ordinance
  • Winston & Strawn LLP
  • Hong Kong
  • October 2 2015

On July 22, 2015, the Securities and Futures Commission (SFC) commenced proceedings in the Market Misconduct Tribunal (MMT) against AcrossAsia


Record sentence handed down in Sanders insider dealing case
  • Winston & Strawn LLP
  • United Kingdom
  • July 9 2012

On 19 June 2012 Mr. Justice Simon at Southwark Crown Court sentenced James Sanders, a director of the former UK brokerage firm Blue Index, to four years’ imprisonment after pleading guilty to 10 counts of insider dealing


Culpability required for securities fraud exception to debt discharge in bankruptcy
  • Winston & Strawn LLP
  • USA
  • September 28 2011

On September 19th, the Ninth Circuit considered whether the exception to Chapter 7 bankruptcy discharge for debts resulting from a violation of state or federal securities laws applies when the debtor himself is not culpable for the securities violation that caused the debt


Transfer agent liability
  • Winston & Strawn LLP
  • USA
  • September 16 2013

On September 10th, the Ninth Circuit addressed transfer agent liability under Section 5 of the Securities Act. The SEC alleged that defendants


The SEC continues to file compensation clawback lawsuits even against executives “not at fault”
  • Winston & Strawn LLP
  • USA
  • May 2 2012

I have blogged on this issue previously, so I wanted to update readers on a two more lawsuits recently filed by the SEC under SOX Section 304 - both by the SEC’s Fort Worth, Texas office


Financial services update vol. 10, issue 35
  • Winston & Strawn LLP
  • USA
  • October 12 2015

In a closely watched decision, last week the Supreme Court dealt a blow to the Government’s aggressive efforts to prosecute insider trading by


Financial services update July 21 2014 industry news
  • Winston & Strawn LLP
  • USA
  • July 21 2014

On July 18th, Risk.net recounted former SEC Chair Harvey Pitt's proposal for resolving concerns that U.S. firms are avoiding U.S. oversight of their


U.S. Federal Court dismisses SEC civil suit against Siemens executive for lack of jurisdiction
  • Winston & Strawn LLP
  • USA
  • February 26 2013

A federal district court judge in New York dismissed the SEC's civil suit against the former CEO of Siemens' Argentinian subsidiary, Herbert Steffen


Financial Services Update, vol. 11, no. 25
  • Winston & Strawn LLP
  • USA
  • July 11 2016

The Securities and Exchange Commission (“SEC”) was busy on June 28, 2016, proposing rules and making announcements that, if ratified, will


Financial services update vol. 10, issue 20
  • Winston & Strawn LLP
  • USA
  • June 1 2015

On May 22, 2015, the Consumer Financial Protection Bureau (CFPB) issued its statutorily mandated semi annual rulemaking agenda. This agenda contains