Friday, October 31, 2014

SPECIAL REPORT: The EU’s New Market Abuse Regime

August 19, 2014 by  
Filed under Financial Services

The new EU Market Abuse Regulation will have a significant impact on all companies with securities traded on any EU trading venue and all EU market participants and advisers. Affected parties will need to plan well in advance to implement its changes…

ANALYSIS: Insider Trading Enforcement in Japan

February 4, 2014 by  
Filed under Financial Services

This article provides an overview of Japan’s insider trading rules and enforcement actions by regulators over the past decade…

ANALYSIS: Fifteen Things to Expect from the U.S. SEC’s Enforcement Division in 2014

January 13, 2014 by  
Filed under Financial Services

In April 2013, SEC Chair Mary Jo White brought her reputation as a no-nonsense criminal prosecutor to the Commission. She professes that the Commission will prioritize bigger cases. In other words, her priorities are to do everything. However, by reading between the lines, it is possible to draw some conclusions about the path down which the enforcement division is heading in 2014…

Trends in Insider Trading Investigations Part I: How to Navigate Political Intelligence

November 20, 2013 by  
Filed under Financial Services

Hedge funds and other institutional investors turn to various sources of information in connection with their investment research and diligence activities…

The European Union’s Proposed Update of its Market Abuse Regime: What’s New?

October 24, 2013 by  
Filed under Financial Services

The European Parliament gave its approval to an updated market abuse regulation to replace the Market Abuse Directive. This article considers the main changes and the effects on the U.K., which has one of the European Union’s toughest regimes…

India’s New Companies Law

September 27, 2013 by  
Filed under Financial Services

On August 8, 2013, the Companies Bill was passed by the Rajya Sabha (upper house of the Parliament), and it now awaits the assent of the President. We examine some of the key features of the Bill…

ANALYSIS: India’s New Companies Law

September 9, 2013 by  
Filed under Financial Services

India’s New Companies Law was recently passed by the Rajya Sabha, and it now awaits the assent of the President….

ANALYSIS: U.S. District Court Decision in Tourre Case Extends SEC’s Reach for Foreign Transactions Involving Domestic Offerings

August 2, 2013 by  
Filed under Financial Services

A recent decision by Judge Katherine Forrest of the U.S. District Court for the Southern District of New York clarified the scope of the ability of the SEC to pursue fraud charges in foreign securities transactions involving domestic offerings…

Year Three of the SEC Whistleblower Program: Will It Turbocharge SEC Enforcement?

June 11, 2013 by  
Filed under Financial Services

SEC Whistleblower Program — organizations should prepare for continued increases in whistleblower complaints. In the second part of this article, we offer observations on the likely areas of focus for those complaints…

ANALYSIS: New Amendments to Swiss Federal Act on Stock Exchanges and Securities Trading Strengthen Rules on Insider Trading, Introduce Other Important Changes

March 6, 2013 by  
Filed under Financial Services

In September 2012, the Swiss parliament approved a draft bill to revise the Swiss Federal Act on Stock Exchanges and Securities Trading and thus create a more stringent capital market criminal and regulatory law…

Next Page »