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Results:1-10 of 42

Important Hong Kong Decision Broadens Scope of Disclosure for SFC in Disqualification Proceedings
  • Dorsey & Whitney LLP
  • Hong Kong
  • January 23 2017

In December 2016, the High Court of Hong Kong ordered the Securities and Futures Commission ("SFC") to disclose all relevant materials obtained in


China-Hong Kong Connect - Part Five: An Interconnected World
  • Dorsey & Whitney LLP
  • China, Hong Kong
  • February 15 2016

In November 2014, the Shanghai-Hong Kong Stock Connect (the "Shanghai Train"), a pilot program for establishing mutual stock market access between


Microcap fraud: an FBI controlled shell company
  • Dorsey & Whitney LLP
  • USA
  • July 14 2014

Five men came together to plan the manipulation of an over-the-counter traded shell. What they did not know was that the shell was controlled by the


This week in securities litigation (week ending may 16, 2014)
  • Dorsey & Whitney LLP
  • USA, Australia, Hong Kong
  • May 15 2014

The Commission got split decisions in court this week. It prevailed in one high profile trial, obtaining a jury verdict in its favor. It lost a


This week in securities litigation (week ending February 7, 2014)
  • Dorsey & Whitney LLP
  • USA, Australia, United Kingdom, Hong Kong
  • February 6 2014

Matthew Martoma was convicted of insider trading by a Manhattan jury. That jury found him guilty of one count of conspiracy and two counts of


This week in securities litigation (week ending December 20, 2013)
  • Dorsey & Whitney LLP
  • USA
  • December 20 2013

Michael Steinberg, formerly of SAC Capital, was found guilty of insider trading by a jury. The verdict preserved the unblemished record of the US


Strategic planning for 2014: protecting your trading operation from federal regulatory enforcement actions
  • Dorsey & Whitney LLP
  • USA
  • December 3 2013

Companies with trading operations are experiencing increased difficulty navigating the rapidly evolving and complex regulatory environment. One


This week in securities litigation (week ending November 30, 2013)
  • Dorsey & Whitney LLP
  • USA, United Kingdom, Hong Kong
  • December 1 2013

This week the SEC and the DOJ filed FCPA Actions against oil services company Weatherford International. The company became the newest member of the


CFTC fines, temporarily bans traders for attempted manipulation
  • Dorsey & Whitney LLP
  • USA
  • November 25 2013

The newly empowered CFTC has been bringing an increasing number of market manipulations cases. Last month, for example, the agency teamed with the


CFTC issues concept release on risk controls for automated trading systems
  • Dorsey & Whitney LLP
  • USA
  • September 11 2013

Risk controls and automated market systems have been a key topic for market regulators in view of recent markets events. This week the CFTC issued a