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Enforcement actions
  • Ropes & Gray LLP
  • USA
  • January 14 2016

On September 22, 2015, the SEC announced that it had agreed to settle enforcement proceedings brought against an investment adviser, R.T. Jones

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

Supreme Court rules on who is the “maker” of statements under Section 10(b)
  • Vedder Price PC
  • USA
  • July 1 2011

On June 13, 2011, the U.S. Supreme Court issued its ruling in Janus Capital Group, Inc. v. First Derivative Traders

Other developments
  • Ropes & Gray LLP
  • USA
  • June 3 2015

Since the last issue of our IM Update, we have also published the following separate Alerts of interest to the investment management industry: SEC

Software company to face suit over contract restructuring
  • Katten Muchin Rosenman LLP
  • USA
  • March 27 2015

The United States District Court for the Northern District of California sustained a securities fraud complaint alleging that the defendants, a

Supreme Court addresses pleading standards applicable to section 11 claims based on statements of opinion
  • Kramer Levin Naftalis & Frankel LLP
  • USA
  • March 27 2015

On March 24 , the Supreme Court decided Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund, No. 13-345, addressing

High frequency trading suit dismissed for failure to state a claim
  • Carrington Coleman
  • USA
  • January 13 2016

Following the release of Michael Lewis's book about high frequency trading, Flash Boys: A Wall Street Revolt, multiple putative class action lawsuits

When will a company be held liable for opinions given during a public offering?
  • Torkin Manes LLP
  • Canada, USA
  • August 6 2015

The Supreme Court of the United States has ruled on the liability of a company for opinion statements made in documents filed with the Security and

Disclosure takeaways from U.S. Supreme Court’s Omnicare decision
  • Baker & McKenzie
  • USA
  • April 5 2015

In an eagerly anticipated and widely monitored decision, the U.S. Supreme Court in Omnicare, Inc. v. Laborers District Council Construction Industry

Securities enforcement 2015 mid-year review
  • Shearman & Sterling LLP
  • USA
  • August 6 2015

In the first half of 2015, the SEC’s Enforcement Division announced a number of significant enforcement achievements, including settling several