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Results: 1-10 of 118

Hong Kong Securities Laws Violations: SFC’s Case Against Moody’s - Part 2
  • Dorsey & Whitney LLP
  • Hong Kong
  • June 14 2016

On March 31, 2016, the Securities and Futures Appeals Tribunal (“SFAT”) upheld the disciplinary action of the SFC against Moody’s. This landmark


This week in securities litigation (week ending September 5, 2014)
  • Dorsey & Whitney LLP
  • USA
  • September 5 2014

The Commission prevailed on summary judgment in an action against a broker which alleged he misappropriated client funds. The agency also filed


EY sanctioned for acting as an advocate for audit clients
  • Dorsey & Whitney LLP
  • USA
  • July 16 2014

Auditor independence is critical. The opinion issued by the audit firm regarding the financial statements of an audit client represents in part that


SEC settles financial fraud charges with issuer, CFO
  • Dorsey & Whitney LLP
  • USA
  • May 27 2014

The Commission filed settled financial fraud charges against an issuer which discovered and remediated a series of accounting issues and the CFO who


The SEC’s new AQM: better financial reporting for investors
  • Dorsey & Whitney LLP
  • USA
  • May 26 2014

Since the announcement of the Financial Fraud Task Force and the Center for Risk and Quantitative Analytics last year many have expected an uptick in


Financial fraud actions the new SEC staple?
  • Dorsey & Whitney LLP
  • USA
  • April 29 2014

With the creation last year of the Financial Reporting and Audit Task Force, the Commission is returning to one of its enforcement staples -


This week in securities litigation (the week ending January 24, 2014)
  • Dorsey & Whitney LLP
  • USA
  • January 23 2014

The insider trading trial of former SAC Capital employee Matthew Martoma continued this week. The SEC filed one new administrative proceeding this


Operation Broken Gate: SEC charges another auditor
  • Dorsey & Whitney LLP
  • USA
  • January 22 2014

Operation Broken Gate is a critical part of the new "get tough" enforcement approach of the SEC. In an effort to leverage resources and achieve


The SEC: the future path of enforcement (conclusion)
  • Dorsey & Whitney LLP
  • USA
  • January 8 2014

This is the fourth and concluding segment of this series projecting the path of SEC Enforcement. The first three segments were published on Monday


SEC releases long awaited rules on Regulation A
  • Dorsey & Whitney LLP
  • USA
  • December 30 2013

On December 18, the Securities and Exchange Commission released their long-awaited proposed rules on Regulation A. The proposed rules, which are