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1,485 results found

Article

Latham & Watkins LLP | USA | 2 Apr 2019

Supreme Court Ruling Extends Reach of Primary Liability for Securities Fraud

The Court held that a Defendant’s act of sending emails drafted by another, that the defendant understood to contain material untruths, was

Article

Cooley LLP | USA | 1 Apr 2019

SCOTUS finds primary securities fraud liability for disseminating statements made by others with intent to defraud

Last week, SCOTUS decided Lorenzo v. SEC, a case involving a claim that an investment banker was liable for securities fraud when, at the direction

Article

Cadwalader Wickersham & Taft LLP | USA, Global | 28 Dec 2018

Anti-money laundering and fraud in the USA

A structured guide to AML and fraud in the USA

Article

Munger Tolles & Olson LLP | USA | 5 Nov 2018

SEC Warns Corporations about BEC Attacks

On Oct. 16, 2018, the SEC issued a type of report, known as a "21(a) Report," on Business Email Compromise ("BEC") attacks.i The report warrants

Article

Vinson & Elkins LLP | USA | 8 Oct 2018

A New SEC Focus On Short Activism? Activist Hedge Fund Lemelson Capital Charged with Unlawful Short Attack

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

Article

Sidley Austin LLP | USA | 11 Sep 2018

The Sheriffs are in Town: Recent Developments in Initial Coin Offerings (ICO) Enforcement and Investor Education

In the months following director William Hinman’s noteworthy speech on whether and when a digital asset is subject to securities laws, U.S. regulators

Article

Sheppard Mullin Richter & Hampton LLP | USA | 13 Jul 2018

New York Court of Appeals Rules that Civil Securities Fraud Claims Brought Under Martin Act are Subject to Three-Year Statute of Limitations

In People v. Credit Suisse Securities (USA) LLC, No. 40, 2018 WL 2899299 (N.Y. June 12, 2018), the Court of Appeals for the State of New York ruled

Article

Addleshaw Goddard LLP | United Kingdom, Global | 25 May 2018

Corporate Crime & Investigations Update - 1 June 2018

The General Data Protection Regulation (GDPR), which came into force on 25 May 2018, requires businesses to complete mandatory data protection impact

Article

Bradley Arant Boult Cummings LLP | USA | 16 Apr 2018

SEC Action Highlights Importance of Specific Language in Directors and Officers Insurance for Fintech and Other Startup Companies

The founder of Mozido, the fintech startup once claimed to be valued at $5.6 billion, has been named as a defendant in a civil lawsuit filed by the

Article

Baker McKenzie | USA | 5 Apr 2018

Raising the Stakes: The SEC and DOJ Bring Parallel Actions Against ICO Promoters

The SEC and the US Attorney yesterday announced parallel actions alleging fraud and registration violations relating to an initial coin offering (ICO)

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