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Four key SEC whistleblower trends and how companies can prepare for them
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • Ireland, USA
  • November 2 2016

In this article, the authors identify four recent trends in the SEC's Whistleblower Program: a significant uptick in whistleblower bounties; awards

SEC Requires Hedge Funds to Prevent Insider Trading Despite Unsettled Legal Definition
  • Paul Hastings LLP
  • USA
  • November 1 2016

On October 13, the SEC brought an enforcement action against Artis Capital Management ("Artis"), alleging that it did not have or enforce policies

Second Circuit finds no liability under short-swing profit rules for "pairing" transactions that relate to two different classes of equity securities
  • Davis Polk & Wardwell LLP
  • USA
  • January 9 2013

The Second Circuit recently issued a decision that relates to whether a sale of one class of equity security and a purchase of a different class of equity

2012 year-end securities enforcement update
  • Gibson Dunn & Crutcher LLP
  • USA
  • January 9 2013

In many respects, 2012 was another year of aggressive SEC enforcement. The SEC's Division of Enforcement again logged a near record number of enforcement

Supreme Court endorses broad view of Sarbanes-Oxley's whistleblower protection
  • Vedder Price PC
  • USA
  • March 12 2014

On March 4, 2014, the Supreme Court handed down its decision in Lawson v. FMR LLC, et al., the high court's first opportunity to interpret the

Takeaways from Del. High Court's MFW ruling
  • Greenberg Traurig LLP
  • USA
  • March 19 2014

Law360, New York (March 18, 2014, 9:55 PM ET) -- In a significant case of first impression, the Delaware Supreme Court, in Kahn v. M&F Worldwide Corp

Illuminating case on the tax effect of forfeitures and clawbacks
  • Winston & Strawn LLP
  • USA
  • March 17 2014

One of the many unresolved issues in the area of compensation clawbacks (in addition to the fact that we don't have SEC rules on Dodd-Frank Act

Offering fraud: an SEC enforcement staple
  • Dorsey & Whitney LLP
  • USA
  • June 4 2013

One of the new staples of SEC enforcement is offering fraud cases. When coupled with Ponzi scheme or investment fund fraud actions, they constitute a

Supreme Court decides to hear applicability of Sarbanes-Oxley’s whistleblower protections
  • Drinker Biddle & Reath LLP
  • USA
  • June 3 2013

The Supreme Court recently granted certiorari to decide whether the whistleblower protections of the Sarbanes-Oxley Act (SOX), 18 U.S.C. 1514A

Seventh Circuit seeks clarification regarding insider trading prohibitions and mutual fund redemptions
  • Vedder Price PC
  • USA
  • August 1 2013

On July 22, 2013, the U.S. Court of Appeals for the Seventh Circuit reversed the district court ruling in Securities and Exchange Commission v. Bauer