On April 19, 2017, the Hedge Fund Industry Practice team hosted an event at the New York Yacht Club titled "100 Days In: What Hedge Funds Can Expect
While massive awards paid out by regulators to whistleblowers continue to dominate headlines, a U.S. jury recently awarded a significant damages
Welcome to the 2016 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose of this
On September 9, 2016, the United States Securities and Exchange Commission (“SEC”) charged RPM International Inc. (“RPM”) and its General Counsel
On September 9, 2016, the U.S. Securities and Exchange Commission ("SEC") charged Ohio-based chemical company RPM International Inc. ("RPM") and its
Welcome to the 2016 Mid-Year Report From the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide
In an important step towards implementing Canada’s Cooperative Capital Markets Regime, the participating jurisdictions have made the long awaited
As recently as 2009, few in the securities industry would have suspected that a senior legal or compliance officer’s reporting of potential misconduct by a broker to senior business managers and recommendation to fire the broker would result in an enforcement action against the legal or compliance officer.
Unlike so-called “merger control” laws in most countries, the U.S. HSR Act applies to individual executive officers and directors acquiring shares of the employing corporation as part of their compensation if certain jurisdictional thresholds are satisfied.
On October 25th, the CFTC's Office of General Counsel announced that it issued a no-action letter on October 24, 2011, permitting the offer and sale in the United States of the Taiwan Futures Exchange's futures contract based on the GTEX.