News & Analysis as of

Electronic Discovery Finance & Banking Securities

Read Electronic Discovery updates, articles, and commentary from leading lawyers, law firms, and legal consultants:

The DOJ is the Latest to Learn that Redactions Aren’t as Straightforward as You Think: eDiscovery Best Practices

by CloudNine on

I keep thinking that all attorneys, especially those in large corporations, large law firms and federal agencies, understand best practices associated with performing redactions.  Once again, I find that is evidently not the...more

SEC Adopts Payment Disclosure Rules for Companies Engaged in Resource Extraction

by BakerHostetler on

The U.S. Securities and Exchange Commission (the “SEC”) has adopted new rules which require “resource extraction issuers” to disclose annually the type and amount of payments that they (or their subsidiaries or entities under...more

International News: Focus on Private Equity

by McDermott Will & Emery on

Our Focus on Private Equity provides a global perspective on some of the challenges being faced by PE firms and how these can be successfully addressed. It also examines some of the many opportunities available, e.g., by...more

SEC – PRC Based Audit Firms Reach A Settlement

by Dorsey & Whitney LLP on

The SEC and the PRC based affiliates of five major accounting firms entered into a settlement of proceedings initiated over the failure to produce audit work papers for issuers with substantial operations in China. The...more

FINRA Panel Precludes Evidence & Awards Punitives as Discovery Sanction

by Burr & Forman on

An all-public panel of FINRA arbitrators entered a preclusion order and awarded $750,000 in punitive damages for Respondents’ failure to participate in discovery and disregard of pre-hearing filing requirements....more

FINRA Issues Guidance Notice on Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process

In Regulatory Notice 14-40, FINRA reminds members that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to incorporate into a settlement agreement a confidentiality provision...more

Corporate and Financial Weekly Digest - Volume IX, Issue 45

by Katten Muchin Rosenman LLP on

In this issue: - Proxy Advisory Firms Release Policy Updates for 2015 - CBOE Makes Enhancements to Its Market-Maker Trade Notification System - OTC Derivatives Regulators Group Issues Report to G20...more

CFTC Proposes Amendments to Recordkeeping Rules

by Morgan Lewis on

Proposed changes would provide permanent relief from compliance with certain recordkeeping requirements and narrow the types of records that must be identifiable by transaction. The December 2012 amendments to...more

Delaware Supreme Court Permits Stockholders to Overcome Corporation’s Attorney-Client Privilege for “Good Cause”

On July 23, 2014, the Delaware Supreme Court in Wal-Mart Stores, Inc. v. Indiana Elec. Workers Pension Trust Fund IBEW held that plaintiff stockholders, who make a showing of good cause, can inspect documents concerning a...more

Ralph Ferrara Discusses Private Securities Litigation at PLI

by Proskauer Rose LLP on

Ralph Ferrara speaking at the Practising Law Institute’s 45th Annual Securities Regulation Institute. Ralph is part of a panel addressing the topic of Private Securities Litigation, including: * Key considerations in...more

FINRA Revises Definition of Public Arbitrator and Proposes Changes to Discovery Guide Concerning Electronic Documents

by Wilson Elser on

The Financial Industry Regulatory Authority (FINRA), which provides the arbitration forum for resolving disputes between securities firms and customers, recently announced changes to the arbitrator selection process and...more

Corporate and Financial Weekly Digest - March 30, 2012

In this issue; - CFTC Approves Final Rule on Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management - Third Circuit Court of Appeals Limits Electronic Discovery Costs...more

Responding to Comprehensive Financial Fraud Enforcement Efforts

by K&L Gates LLP on

When the President of the United States highlights an enforcement initiative in the State of the Union Address, as he did on January 24, 2012, it likely is a strong indication of things to come. And action was swift....more

The Legal Counselor - May 31, 2011

In this issue: Bloodshed in Libya Prompts U.S. Sanctions; Chinese Based Reverse Mergers Attract Scrutiny; New Developments in Electronic Discovery; Qatar: Safe Haven for Investors During Mideast Turmoil; Understanding...more

Kerviel and the Société Générale trading case: some thoughts about governance, risk, compliance … and the banking world

by Gregory P. Bufithis, Esq. on

6 October 2010 –Former Société Générale trader Jérome Kerviel was found guilty of breach of trust, computer abuse and forgery by a Paris court on Tuesday for his role in a trading scandal that cost the bank close to €5bn...more

The Société Générale/Jérôme Kerviel trial: issues of e-discovery and forensics plus governance, risk and compliance [UPDATED]

by Gregory P. Bufithis, Esq. on

Reported by: Darius Champion, special correspondent to Project Counsel and Gregory P. Bufithis, founder and chairman of Project Counsel 23 June 2010 — We have had the good fortune these last two weeks to be following the...more

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