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Searching Content indexed under Corporate/Commercial Law by Ropes & Gray LLP's Securities & Enforcement Practice Group ordered by Published Date Descending.
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Concerns About Pay-To-Play Violations Amplify As 2020 Giving Ramps Up
As the 2020 Democratic presidential primary election field develops and new candidates join the race, more and more individuals are donating to their presidential candidates of choice.
United States
15 May 2019
2
SEC Adopts Amendments To Modernize And Simplify Regulation S-K
On March 20, 2019, the SEC adopted amendments to modernize and simplify certain disclosure requirements in Regulation S-K. A majority of the amendments ...
United States
9 Apr 2019
3
Supreme Court Holds SEC's Past Hiring Of Administrative Judges Unconstitutional
Raymond Lucia was an investment adviser charged by the SEC under the anti-fraud provisions of the Investment Advisers Act for misleading investors.
United States
22 Jun 2018
4
Second Circuit Raises The Bar For Proving Tippee Liability
Wednesday, the U.S. Court of Appeals for the Second Circuit vacated the criminal insider trading convictions of two former hedge fund managers, and in doing so, clarified the elements required to prove an insider trading charge against a "tippee."
United States
15 Dec 2014
5
Recent SEC Enforcement Actions Suggest Continued Attention To Rule 105 Of Regulation M
On September 16, 2013, the Securities and Exchange Commission charged over 20 firms with violations of Rule 105 of Regulation M of the Securities Exchange Act of 1934, which prohibits the purchase of securities in a secondary offering when the buyer has a short position.
United States
1 Oct 2013
6
Regulation FD: A Case Study On Enforcement
On September 6, 2013, the Securities and Exchange Commission issued a cease-and-desist order settling charges that Lawrence Polizzotto, the former head of investor relations at First Solar, Inc., a solar energy company, violated Regulation FD.
United States
11 Sep 2013
7
Chinese Securities Regulator Announces Plans to Produce Documents in Ongoing "Big Four" Accounting Firm SEC Enforcement Action
According to a public statement issued by the China Securities Regulatory Commission ("CSRC") on July 9, 2013, China’s securities regulator is preparing to hand over the audit documents of a U.S.-listed Chinese company to the U.S. Securities and Exchange Commission ("SEC") and the Public Company Accounting Oversight Board ("PCAOB").
United States
21 Jul 2013
8
SEC Settles Cases Alleging Compliance Failures At Private Equity Firms
On March 11, the SEC announced two matters of significant importance to the private equity industry and to private fund sponsors generally.
United States
14 Mar 2013
9
Supreme Court Adopts Strict Interpretation Of The Statute Of Limitations For SEC Civil Penalty Enforcement Actions
On February 27, 2013, the United States Supreme Court unanimously adopted a strict interpretation of the five-year period in which the Securities and Exchange Commission ("SEC") may seek to impose a civil penalty on a registered investment adviser.
United States
5 Mar 2013
10
SEC Warns: "The Number Of Cases Involving Private Equity Will Increase"
On January 23, the Chief of the Securities Exchange Commission’s Asset Management Unit ("AMU"), Bruce Karpati, participated in a question and answer session at the Private Equity International Conference.
United States
5 Feb 2013
11
SEC Brings Enforcement Action Against Mutual Fund Directors For Alleged Failures In Oversight Of Valuation Committee
On December 10, 2012, the SEC filed an order instituting enforcement proceedings (the "OIP") against both the interested and the independent directors of five registered investment companies advised by Morgan Asset Management, Inc. (the "Adviser"), alleging that the directors failed to properly carry out their duties during several months in 2007 with respect to overseeing the determination of the "fair value" of certain structured product securities owned by four closed-end funds and three seri
United States
14 Dec 2012
12
SEC's Charges Against China-Based Accounting Firms Have Broad Implications
As part of its effort to investigate potential accounting fraud at unnamed China-based companies that are publicly traded in the United States, on December 3, 2012 the U.S. Securities and Exchange Commission (the "SEC") charged the Chinese affiliates of the "Big Four" accounting firms – Ernst & Young, Deloitte, KPMG and PricewaterhouseCoopers – and BDO with violating the Securities Exchange Act and the Sarbanes-Oxley Act.
China
10 Dec 2012
13
SEC Releases Whistleblower Program’s 2012 Annual Report
On November 15, 2012, the Securities and Exchange Commission ("SEC" or the "Commission") released its Annual Report on the Dodd-Frank Whistleblower Program (the "Report").
United States
20 Nov 2012
14
SEC Whistleblower Office Issues First Award
The Securities and Exchange Commission announced on Tuesday that an anonymous tipster was eligible to receive the first award paid under its Dodd-Frank-mandated whistleblower program.
United States
23 Aug 2012
15
Legal And Compliance Officers Left In Doubt About Their Personal Liability
On October 19, 2009, the SEC instituted an administrative proceeding against Theodore Urban, the former general counsel of a broker-dealer, alleging that he had "failed to supervise" a registered representative of the firm.
United States
21 Feb 2012
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