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Dorsey & Whitney LLP | USA | 20 Apr 2022
Earnings Management Keyed to A Poor Control Environment
Earnings management has long been a key concern for the Commission and its Enforcement Division. While the agency has in recent years made various…
Dorsey & Whitney LLP | USA | 24 Aug 2016
SEC Settles With 71 Municipal Issuers
The Commission’s Municipalities Continuing Disclosure Cooperation Initiative has been a significant success. Under the Initiative the agency has filed…
Dorsey & Whitney LLP | USA | 11 Nov 2015
A new trend? New York Attorney General settles first climate change disclosure case
New York Attorney General (“NY AG”) Eric T. Schneiderman may be leading the way again. In the past, the office pursued investigations using New…
Dorsey & Whitney LLP | Australia, Hong Kong, United Kingdom, etc. | 19 Sep 2014
This week in securities litigation (week ending 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…
Dorsey & Whitney LLP | USA | 17 Sep 2014
The SEC in the office fails to deter insider trader
The theory of "broken windows," the enforcement approach being pursued by the SEC, is that prosecuting all violations large and small creates…
Dorsey & Whitney LLP | USA | 16 Sep 2014
The origins of the FCPA: lessons for effective compliance and enforcement — part three
The foreign payments cases held the organization and the individuals involved accountable while improving corporate governance for the benefit of the…
Dorsey & Whitney LLP | USA | 14 Sep 2014
The origins of the FCPA: lessons for effective compliance and enforcement: part two
The preliminary inquiry was followed by formal SEC investigations early in 1974. The resulting cases would become known as the “illicit or foreign…
Dorsey & Whitney LLP | USA | 12 Sep 2014
This week in securities litigation (week ending September 12, 2014)
The SEC continued with its “broken windows” approach to enforcement this week, filing a group of 34 actions based on the failure to file either a…
Dorsey & Whitney LLP | USA | 11 Sep 2014
The SEC continues “Broken Windows” – is it effective enforcement?
Broken Windows is the enforcement strategy adopted by the SEC as part of its "prosecute every violation big and small" approach in an effort to…
Dorsey & Whitney LLP | USA | 10 Sep 2014
SEC – USAO file actions based on scheme to conceal ownership
Building on an undercover sting operation, the SEC filed an enforcement action against two individuals and their controlled entity. They are alleged…
