Searching Content indexed under Charges, Mortgages, Indemnities by DLA Piper ordered by Published Date Descending.
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Reflecting On Unauthorised Wealth Orders: Considerations For Mortgagees
Unexplained wealth orders (UWO) were introduced in January 2018 and the National Crime Agency (NCA) has now successfully obtained five
12 Sep 2019
Bank Regulatory News And Trends - August 2019
This regular publication from DLA Piper focuses on helping banking and financial services clients navigate the ever-changing federal regulatory landscape.
United States
14 Aug 2019
Will Proposed SEC Whistleblower Rules Prevent the Undermining of Corporate Compliance Programs?
The US Securities and Exchange Commission has proposed new rules to implement the whistleblower provisions of the recently passed Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.
United States
12 Nov 2010
The Extraterritorial Reach of the New Dodd-Frank Whistleblower Law
Whistleblowers who assist the US Securities and Exchange Commission, including those residing outside the US, may receive substantial bounties under the new whistleblower provisions of the recently passed Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.
United States
15 Sep 2010
SEC v. Jenkins: No-Fault Clawbacks for Executive Compensation Take Hold
In a case of first impression, a federal district court has endorsed the SECís interpretation of the clawback provision (Section 304) of the Sarbanes-Oxley Act (SOX) and held that the SEC can seek to clawback incentive-based compensation awarded to the CEO or CFO of a public company that restates its financial statements even when that CEO or CFO is not alleged to be involved in any misconduct associated with the restatement.
United States
7 Sep 2010
SEC v. Rorech: SEC Loses Insider Trading Battle but Wins the War on Jurisdiction over Swaps
In a recently issued opinion following a bench trial, the US District Court for the Southern District of New York rejected the SECís insider trading charges against a bond salesman and hedge fund manager but, in the process, delivered to the SEC a significant victory in its efforts to police derivatives markets.
United States
7 Sep 2010
Landmark 'Morrison' Ruling: Supreme Court Rejects Extraterritorial Application of Securities Exchange Act
In the watershed decision of Morrison et al. v. National Australia Bank Ltd., the United States Supreme Court has held that private causes of action under Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) may not be based on the purchase or sale of securities on foreign exchanges or on securities transactions otherwise occurring outside the United States.
15 Jul 2010
More Change? Market Abuse Directive Regime
The Market Abuse Directive ("MAD") was adopted as law on 28th January 2003 and was accompanied, in due course, by a number of European implementing measures as well.
5 Jul 2010
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