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Results:1-10 of 73

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 brings three proceedings based on the custody rule
  • Dorsey & Whitney LLP
  • USA
  • October 28 2013

The SEC brought three actions focused on the protection of investor securities and funds held by investment advisers. In the Matter of Further Lane


This week in securities litigation (week ending October 18, 2013)
  • Dorsey & Whitney LLP
  • USA
  • October 17 2013

The SEC lost another major case this week when a jury found against the agency and in favor of Mark Cuban on insider trading claims after


The new SEC Chair addresses market structure
  • Dorsey & Whitney LLP
  • USA
  • October 6 2013

SEC Chair Mary Jo White has been reshaping the agency in the months since she joined the Commission. A new "get tough" policy has been adopted


Anti-Corruption Digest - September 2013
  • Dorsey & Whitney LLP
  • USA, Australia, Uganda, United Kingdom, Brazil, China, Germany, Indonesia, Japan
  • October 4 2013

Further evidence of the trend toward civil actions arising out of various governments’ anti-bribery investigations may be found in the case of


The SEC’s operation broken gate: holding gatekeepers responsible
  • Dorsey & Whitney LLP
  • USA
  • September 30 2013

Operation Broken Gate is the SEC's effort to hold gatekeepers accountable. In announcing the initiative, the agency filed three actions involving


SEC files another fraud action tied to the municipal bond market
  • Dorsey & Whitney LLP
  • USA
  • September 15 2013

The SEC filed another settled financial fraud action tied to the municipal bond market which is clearly an area of increasing focus. This proceeding


The SEC’s new financial fraud task force: being prepared for tomorrow today analysis and conclusion
  • Dorsey & Whitney LLP
  • USA
  • August 22 2013

This is the eighth and concluding segment in a series of articles examining the creation of the Financial Reporting and Audit Task Force along with a