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The Second Circuit raises the bar for insider trading convictions

USA - December 22 2014 Under the Second Circuit's new ruling, prosecutors have two large hurdles they must clear to convict under securities laws. First, they must prove…

William M. Sullivan, Jr..

The Second Circuit sets new hurdles for insider trading convictions

USA - December 22 2014 Under the Second Circuit's new ruling, prosecutors have two large hurdles they must clear to convict under securities laws. First, they must prove…

William M. Sullivan, Jr..

Servicing clients across borders carries special risks

USA - December 2 2014 On November 25, 2014, the Securities and Exchange Commission (the "SEC") brought charges against a Swiss-based bank that should serve as notice to…

SEC brings custody rule enforcement

USA - October 29 2014 On October 29, 2014, the Securities and Exchange Commission ("SEC") announced an administrative enforcement action against an investment advisory…

SEC enforcement against short sellers continues

USA - September 16 2014 On September 16, 2014, the Securities and Exchange Commission ("SEC") announced the latest sanctions in a continuing enforcement initiative against…