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Article

Dorsey & Whitney LLP | USA | 24 Aug 2016

SEC Settles With 71 Municipal Issuers

The Commission’s Municipalities Continuing Disclosure Cooperation Initiative has been a significant success. Under the Initiative the agency has filed

Article

Dorsey & Whitney LLP | USA | 11 Nov 2015

A new trend? New York Attorney General settles first climate change disclosure case

New York Attorney General (“NY AG”) Eric T. Schneiderman may be leading the way again. In the past, the office pursued investigations using New

Article

Dorsey & Whitney LLP | USA, Australia, United Kingdom, etc. | 19 Sep 2014

This week in securities litigation (week ending September 19, 2014)

The Commission continued with broken windows this week. Twenty Rule 105 short selling cases were filed in a group. Last week another group of broken

Article

Dorsey & Whitney LLP | USA | 17 Sep 2014

The SEC in the office fails to deter insider trader

The theory of "broken windows," the enforcement approach being pursued by the SEC, is that prosecuting all violations large and small creates

Article

Dorsey & Whitney LLP | USA | 16 Sep 2014

The origins of the FCPA: lessons for effective compliance and enforcement part three

The foreign payments cases held the organization and the individuals involved accountable while improving corporate governance for the benefit of the

Article

Dorsey & Whitney LLP | USA | 14 Sep 2014

The origins of the FCPA: lessons for effective compliance and enforcement: part two

The preliminary inquiry was followed by formal SEC investigations early in 1974. The resulting cases would become known as the “illicit or foreign

Article

Dorsey & Whitney LLP | USA | 12 Sep 2014

This week in securities litigation (week ending September 12, 2014)

The SEC continued with its “broken windows” approach to enforcement this week, filing a group of 34 actions based on the failure to file either a

Article

Dorsey & Whitney LLP | USA | 11 Sep 2014

The SEC continues “Broken Windows” is it effective enforcement?

Broken Windows is the enforcement strategy adopted by the SEC as part of its "prosecute every violation big and small" approach in an effort to

Article

Dorsey & Whitney LLP | USA | 10 Sep 2014

SEC USAO file actions based on scheme to conceal ownership

Building on an undercover sting operation, the SEC filed an enforcement action against two individuals and their controlled entity. They are alleged

Article

Dorsey & Whitney LLP | USA | 9 Sep 2014

The origins of the FCPA: lessons for effective compliance and enforcement

Can one man make a difference? Stanley Sporkin is proof that the answer is “yes.” In the early 1970s he sat fixated by the Watergate Congressional

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