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This Week In Securities Litigation

The Commission chose to appeal the decision in Hill v. SEC in which the Court held that the manner in which SEC Administrative Law Judges are retained violates the Appointment Clause of the Constitution. While the Court...more

IKEA Wins in and Thirty Other Domain Name Challenges

Ikea Systems BV of the Netherlands filed with the World Intellectual Property Organization (WIPO) for the transfer of multiple domain names registered by Michael Herman, an individual located in North Carolina. These domains...more

This Week In Securities Litigation

This week Senator Elizabeth Warren forwarded a 13 page letter to SEC Chair White regarding her performance in office. The letter highlighted what it calls a “significant gap” between the promises of Ms. White at the time she...more

The Impact of Newman on SEC Enforcement: Part IV

This is the fourth segment of a five part series discussing the impact of the Second Circuit’s ruling in Newman on SEC insider trading cases. Post Newman SEC Actions (continued) - 2. Administrative proceedings...more

This Week In Securities Litigation

The Second Circuit rejected a petition for rehearing by the U.S. Attorney’s Office in the Newman case. There the Court reversed and dismissed the insider trading actions against two traders based on the failure of the court...more

Canada Begins Border Enforcement for Counterfeits

On January 1, 2015, the Government of Canada declared into force new border controls designed to prevent counterfeit and copyright infringing goods from entering and exiting Canada. The new border controls empower officers of...more

Libor Fixing Probe – UBS Facing Potential $1 Billion Fine

UBS, Switzerland’s largest bank, is set to become the second financial institution to enter into a settlement arising out of the Libor rate-fixing scandal. The potential agreement would reportedly allow UBS to pay...more

Orrick's Financial Industry Week in Review - December 3, 2012

In This Issue: - Financial Industry Developments · CFTC Final Rule on Clearing of Credit Default Swaps and Interest Rate Swaps · Fed, Treasury Proposed Amendments to Bank Secrecy Act Definitions...more

FSA Fines Manager for Systemic Suitability Failings

On November 14, the UK Financial Services Authority (FSA) announced that it had fined Savoy Investment Management Limited (Savoy) £412,000 (approximately $653,000) for failing to take reasonable care to ensure the suitability...more

Amendment to Japanese Investment Management Regulations in Response to AIJ Incident

On October 12, 2012, in response to the recent AIJ scandal, the Financial Services Agency of Japan (the “Japanese FSA”) published a draft amendment to certain rules (“Draft Rules”) intended to revamp the regulation and...more

Structured Thoughts -- Volume 3, Issue 13 -- November 13, 2012

In This Issue: EU Regulation on Short Selling: Impact on U.S. Issuers of Structured Notes - On November 1, 2012, the regulation (the “Regulation”) of the European Parliament and Council of the European Union on...more

Orrick's Financial Industry Week in Review - October 29, 2012

In This Issue: Financial Industry Developments - CFTC Proposal for Enhanced FCM and DCO Protections - CFTC Final Interpretive Guidance on Foreign Regulators’ Indemnification and Confidentiality Obligations -...more

FSA Bans and Fines Former Managing Director of Welcome Financial Services Ltd for Market Abuse

The FSA published its final notice dated October 8 in relation to John Blake, the former managing director of Welcome Financial Services Ltd (Welcome). In its final notice the FSA states that Mr. Blake engaged in market...more

Tribunal Upholds FSA Decision to Ban and Fine Swiss Fund Manager and Two Former Cantor Fitzgerald Traders for Market Abuse

The Upper Tribunal (Tax and Chancery Chamber) (the “Tribunal”) has directed the FSA to fine Stefan Chaligné, a Swiss-based hedge fund manager £900,000, (plus disgorgement of the financial benefit he obtained of €362,950) and...more

Orrick's Financial Industry Week In Review - October 1, 2012

In This Issue: -Financial Industry Developments - Treasury Pushes for Money Market Fund Reforms - Agencies Reopen Comment Period on Swap Margin and Capital Proposed Rulemaking - CFTC Time Extension for...more

Orrick's Financial Industry Week In Review - September 17, 2012

In This Issue: -Financial Industry Developments ·FHFA, Fannie and Freddie Launch Representation and Warranty Framework ·First Winning Bidder Announced for FHFA REO Pilot Initiative ·CFTC Seeks Public...more

Corporate and Financial Weekly Digest - September 14, 2012

In this issue: - PCAOB Adopts New Auditing Standard relating to Communications Between Auditors and Audit Committees, Subject to SEC Approval - FINRA Rule Change Relating to Private Placements of Securities -...more

The Implications of Private LIBOR Litigation

Like other major financial controversies, the London Interbank Offered Rate (“LIBOR”) case is spawning private litigation in the United States. The dangers of an antitrust violation include treble damages in private suits...more

Increasing Investor Disclosure Requirements and Restrictions for UCITS Funds

The European Commission (the Commission) and European Securities and Markets Authority (ESMA) recently published additional guidelines for Undertakings for the Collective Investment in Transferable Securities funds (UCITS)...more

Orrick's Financial Industry Week In Review - September 4, 2012

In This Issue: - Financial Industry Developments · Eliminating General Solicitation and Advertising Prohibitions under Rule 506 and Rule 144A · FIA and ISDA Cleared Derivatives Addendum · Updated Stress...more

Orrick's Financial Industry Week in Review - August 20, 2012

In This Issue: - Financial Industry Developments · Steps to Expedite Wind Down of Fannie Mae and Freddie Mac · CFTC Proposed Order on Non-Financial Energy Derivative Transactions · CFTC Conforming Rule...more

U.S. Senate Hearing On Corporate Sustainability and Social Responsibility

The need to standardize methods for measuring a company’s environmental performance was discussed by several environmental policy executives for major corporations, testifying on May 16, 2012 in Washington D.C. before the...more

Credit Crunch Digest -- July 2012

This digest collects and summarizes recent media reports regarding potential liability, government initiatives, litigation and regulatory actions arising from the subprime mortgage crisis and credit crunch, as well as a...more

IRS Victory In FBAR Wilfulness Penalty Case

In an unpublished opinion, the Fourth Circuit Court of Appeals in U.S. v. Williams, reversed the district court’s holding that the taxpayer’s failure to file Form TD F 90-22.1 (“FBAR”) was not willful and in so holding, gave...more

HM Treasury Consults on Sanctions for Directors of Failed Banks

On July 3, HM Treasury published a consultation paper on sanctions for the directors of failed banks. ...more

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