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SEC Settles With 71 Municipal Issuers

USA - August 24 2016 The Commission’s Municipalities Continuing Disclosure Cooperation Initiative has been a significant success. Under the Initiative the agency has filed...


A new trend? New York Attorney General settles first climate change disclosure case

USA - November 11 2015 New York Attorney General (“NY AG”) Eric T. Schneiderman may be leading the way again. In the past, the office pursued investigations using New...


This week in securities litigation (week ending September 19, 2014)

Australia, Hong Kong, United Kingdom, USA - September 19 2014 The Commission continued with broken windows this week. Twenty Rule 105 short selling cases were filed in a group. Last week another group of broken...


The SEC in the office fails to deter insider trader

USA - September 17 2014 The theory of "broken windows," the enforcement approach being pursued by the SEC, is that prosecuting all violations large and small creates...


The origins of the FCPA: lessons for effective compliance and enforcement part three

USA - September 16 2014 The foreign payments cases held the organization and the individuals involved accountable while improving corporate governance for the benefit of the...