April 29, 2013 Ralph Lauren Settles Foreign Corrupt Practices Act Allegations With First-Ever SEC Non-Prosecution Agreement in an FCPA Case
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March 1, 2013 Supreme Court Rejects Application of Fraud Discovery Rule to SEC Enforcement Actions Seeking Civil Penalties
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August 22, 2012 Government’s Burden In Insider Trading Cases Clarified
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August 20, 2012 Second Circuit Decision Clarifies The Standard For Claims of Aiding and Abetting Securities Fraud
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February 2012 District Court, Applying Janus Broadly, Rules Against The SEC in Securities Fraud Case
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September 27, 2011 District Court, Applying Janus Broadly, Rules Against The SEC in Case of First Impression
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May 20, 2011 Securities and Exchange Commission Enters Into First Deferred Prosecution Agreement
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March 4, 2011 SEC Files Contested Administrative Proceeding Against Former Director For Insider Trading
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January 20, 2011 SEC Investigating Financial Industry’s Compliance with the Foreign Corrupt Practices Act When Dealing With Sovereign Wealth Funds
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December 6, 2010 SEC Issues Proposed Rules For Whistleblower Claims
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March 2010 SEC Announces Measures to Encourage Cooperation and Names Specialized Unit Chiefs
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January 29, 2010 SEC Imposes First Sanctions for Violations of Amended Rule 105
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January 14, 2010 SEC Announces Measures To Encourage Cooperation and Names Specialized Unit Chiefs
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November 25, 2009 Recent Developments In Government Investigations of Financial Fraud
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October 2009 SEC Examinations and Enforcement in the Post-Madoff Era The SEC’s Inspector General’s Report Harshly Details the SEC’s Failure to Uncover the Madoff Scheme, Offers Road Map to Future Enforcement Policies
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August 25, 2009 SEC Invokes Sarbanes-Oxley Clawback Provision Without Alleging Wrongdoing By Defendant
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August 12, 2009 SEC Proposes New Rule Intended To Address Pay-To-Play Activities By Investment Advisers
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August 10, 2009 SEC Enforcement Director Robert Khuzami Addresses New Initiatives During His First 100 Days
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August 10, 2009 Delaware Court of Chancery Refuses to Allow Private Equity Group to Deny Advancement and Indemnification Rights to Directors of Its Failed Portfolio Company
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May 14, 2009 CalPERS, Nation’s Largest Public Pension Fund, Adopts New Policy On Placement Agents
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May 6, 2009 New York Pension Fund Scandal Widens; New York State Attorney General Creates Task Force of 36 State Attorneys General To Investigate Pension Fund Abuse
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November 26, 2008 Recent SEC Decision Reminds Regulated Entities To Act Promptly and Take Special Care When Responding To SEC Requests
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October 21, 2008 Special Committees Must Be Fully Independent and Demonstrate a “Vigorous” Commitment To Protecting The Interests of The Corporation
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September 23, 2008 SEC Announces A “Sweeping Expansion” of Its Investigations of Possible Market Manipulation
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September 18, 2008 SEC Issues Emergency Order and Announces Other Actions to Respond to Market Crisis
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July 15, 2008 SEC Announces Examinations Focusing on the Dissemination of False Information Intended to Manipulate Stock Prices
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