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5,110 results found

Analysis PRO In-house

Lexology PRO | Australia | 1 Jun 2021

JPMorgan contests settlement disclosure request in Australian cartel case

JPMorgan has pushed back against claims that its discussions with the Australian Competition and Consumer Commission and the country’s financial regulator during the course of leniency negotiations should be disclosed to banks fighting cartel charges in a landmark case.
Article

Hogan Lovells | USA | 31 May 2021

Second Circuit doubles down on insider trading liability for corporate outsiders

The Second Circuit recently affirmed the 2018 insider trading conviction of Benjamin CHOW, a corporate outsider who was found guilty of tipping off…
Analysis PRO In-house

Lexology PRO | Australia | 27 May 2021

Banks fight over disclosure in landmark Australian cartel case

ANZ has urged an Australian court to grant it unredacted access to important communications between the country’s competition and financial watchdogs about leniency applicant JPMorgan, as the bank looks to rebut charges it participated in a criminal cartel.
Article

Hogan Lovells | USA | 24 May 2021

From Bridgegate to Wall Street: Kelly, Blaszczak and the scope of insider trading liability

Since the Supreme Court's decision in United States v Kelly, the scope of the decision's impact on federal white collar criminal prosecution has been…
Analysis PRO In-house

Lexology PRO | Belgium, European Union, France | 7 May 2021

Belgian enforcer ends purchasing alliance probe with remedies

The Belgian Competition Authority has accepted Carrefour Belgium’s offer to divest its purchasing department to a separate legal entity to address the enforcer’s concerns about its joint purchasing alliance with Provera.
Article

Mayer Brown | USA | 28 Apr 2021

Insider Trading in the Commodities/Derivatives Markets

Welcome to At the Crossroads: CFTC and DOJ Enforcement, a new video weekly series hosted by Mayer Brown partners Matt Kluchenek and Glen Kopp. Each…
Article

Hauzen | Hong Kong | 27 Apr 2021

Market Misconduct Tribunal sanctions two former executives for insider dealing

On 7 April 2021, following legal proceedings brought by the Securities and Futures Commissions (the “SFC”), the Market Misconduct Tribunal (“MMT”)…
Article

Skadden Arps Slate Meagher & Flom LLP | Hong Kong | 13 Apr 2021

Hong Kong Regulatory Update April 2021

This update provides an overview of key regulatory developments in the past three months relevant to companies listed, or planning to list, on The…
Article

Proskauer Rose LLP | USA | 7 Apr 2021

Second Circuit Upholds Insider Trading Conviction, Finding Sufficient Confidentiality Duty and Personal Benefit

The Second Circuit yesterday affirmed the insider trading conviction of the principal of a potential acquiror who, in breach of a nondisclosure…
Article

Advestra | Switzerland | 6 Apr 2021

PIPE Transactions for Acquisition Finance in Swiss Listed Companies - Recent Cases and Structuring Considerations

In the last year, several Swiss listed companies conducted PIPE (private Investment in public entity) transactions to finance an M&A deal…
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