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A New SEC Focus On Short Activism? Activist Hedge Fund Lemelson Capital Charged with Unlawful Short Attack
  • Vinson & Elkins LLP
  • USA
  • October 8 2018

On September 12, 2018, the Securities and Exchange Commission charged hedge fund, Lemelson Capital and its adviser, Gregory Lemelson (together with

Between a Rock and a Hard Place: SEC Disclosure Analysis in Light of the Yahoo Settlement
  • McGuireWoods LLP
  • USA
  • May 8 2018

On April 25, the Securities and Exchange Commission announced a settlement with Yahoo that constituted its first enforcement action against a public

SEC Proposes Transaction Fee Pilot for NMS Stocks
  • Dechert LLP
  • USA
  • April 26 2018

In the release proposing the 610T Pilot (Proposing Release), the SEC addressed a number of concerns expressed by various market participants and

Court of Appeal finds no contractual duty to prevent counterparty from inflicting economic harm on itself
  • Herbert Smith Freehills LLP
  • United Kingdom
  • February 13 2018

A recent Court of Appeal decision has found that a broker owed no contractual duty to prevent a "sophisticated and experienced" trader (trading as a

SEC Temporarily Suspends Trading of UBI Blockchain Internet, Ltd. Over Questions as to Disclosure
  • Proskauer Rose LLP
  • USA
  • January 10 2018

On Monday, the U.S. Securities and Exchange Commission (SEC) halted all trading in the stock of the Hong Kong-based firm, UBI Blockchain Internet

SEC Scrutinizes Pumping of Blockchain-Related Securities
  • Reed Smith LLP
  • USA
  • January 9 2018

The U.S. Securities and Exchange Commission ("SEC") is continuing to increase its scrutiny of companies that might be taking advantage of investor

Using growth targets to supplement growth strategy disclosure
  • Osler Hoskin & Harcourt LLP
  • Canada
  • December 18 2017

The increase in initial public offering (IPO) activity in 2017 saw an increase in the use of “growth targets” - forward-looking information about a

Biotech files rulemaking petition for pilot program mandating public disclosure of short-sale positions
  • Cooley LLP
  • USA
  • November 16 2017

A rulemaking petition has been submitted to the SEC by a biopharmaceutical company that is “developing and marketing regenerative and therapeutic

Supreme Court Decision Restricts Minority Shareholders' Speculative Conduct with Respect to Cash-Out Demands
  • Jones Day
  • Japan
  • October 26 2017

On August 30, 2017, the Supreme Court (second petty bench) held that, with respect to the shares of minority shareholders subject to a demand for the

Audit Firm And Engagement Partner Settle SEC Allegations Stemming From 2011 Audit Of A New Client
  • Shearman & Sterling LLP
  • USA
  • August 22 2017

On August 15, 2017, KPMG LLP (“KPMG”) and one of its engagement partners settled claims brought by the U.S. Securities and Exchange Commission