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5,067 results found

Article

Kramer Levin Naftalis & Frankel LLP | USA | 7 Jul 2020

Liu v. S.E.C.: Supreme Court’s Narrowing of SEC Disgorgement Raises Questions for Insider Trading Cases

Three years ago, in a footnote to its unanimous opinion in Kokesh v. S.E.C., the Supreme Court left open two questions: “whether courts possess…
Article

PRO Compliance | Australia, Canada, European Union, etc. | 3 Jul 2020

COVID-19: Key updates for compliance teams

Lexology Pro Compliance takes a look at some of the most informative articles published on Lexology this fortnight for compliance teams to stay up-to-date, including key guidance from regulators around the world and practical tips to help businesses adapt to a new normal.
Article

Jingtian & Gongcheng | China | 29 Jun 2020

内幕交易、泄露内幕信息罪司法疑难问题探讨

金融是国民经济中重要和关键的组成部分,而2020年是我国“防范化解重大金融风险攻坚战”的决胜之年。在中共第十九届中央纪律检查委员会第三次、第四次全体会…
Article

PRO Compliance | Australia, Canada, European Union, etc. | 19 Jun 2020

COVID-19: Key updates for compliance teams

Lexology Pro Compliance takes a look at some of the most informative articles published on Lexology this fortnight for compliance teams to stay up-to-date, including key guidance from regulators around the world and practical tips to help businesses adapt to a new normal.
Article

Baker McKenzie | USA | 27 May 2020

Will a "Hail Mary" End Criminal Insider Trading?

Gene Levoff, Apple's former Director of Corporate Law and Corporate Secretary, has attacked the foundation of criminal insider trading cases, arguing…
Article

Troutman Pepper | USA | 26 May 2020

Insider Trading in the Time of COVID-19: Risks and Best Practices

The corporate world is facing financial upheaval and an unprecedented earnings season, with the novel coronavirus and COVID-19 disrupting the…
Article

Morvillo Abramowitz Grand Iason & Anello PC | USA | 26 May 2020

How Senators May Have Avoided Insider Trading Charges

Yesterday, reporters revealed the Department of Justice had discontinued the investigations into coronavirus-related trading by Senators Kelly…
Article

PRO Compliance | Australia, Canada, European Union, etc. | 18 May 2020

COVID-19: Crisis management lessons from the financial services industry

Justine Sacarello, head of legal risk management at Lloyds Banking Group, considers why crisis management is most effective in a company that balances a trusting culture against flexible business models.
Article

SEC Actions | USA | 10 May 2020

This Week In Securities Litigation (Week of May 11, 2020)

The Commission is continuing its efforts to update the regulatory structure. Last week it directed market regulators to submit new national market…
Article

Hogan Lovells | USA | 22 Apr 2020

SEC enforcement and litigation risks amid the COVID-19 pandemic

In recent weeks, the Co-Directors of the SEC's Enforcement Division warned of the "importance Of maintaining market integrity" in these uncertain…
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