News & Analysis as of

Securities Exchange Act Bribery

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -

Southern District Of New York Dismisses Securities Fraud Claims As Time-Barred And Inadequately Pleaded

by Shearman & Sterling LLP on

On February 27, 2017, Judge Katherine Polk Failla of the United States District Court for the Southern District of New York dismissed with prejudice a putative class action brought on behalf of purchasers of Wal-Mart de...more

Compliance, Cooperation Mitigates FCPA Liability with DOJ-SEC

by Dorsey & Whitney LLP on

Well designed compliance systems coupled with solid internal controls can be instrumental in preventing violations of the FCPA. Despite best of efforts, there is no doubt that even a well-constructed compliance system can be...more

Reflections on the Hitachi FCPA Enforcement Action

by Thomas Fox on

Earlier this week, the Securities and Exchange Commission (SEC) announced resolution of a Foreign Corrupt Practices Act (FCPA) enforcement action involving the Hitachi Ltd (Hitachi). There were several interesting aspects to...more

The World in US Courts - Orrick's Quarterly Review of Decisions Applying US Law to Global Business and Cross-Border Activities:...

We are pleased to announce the Summer 2015 issue of The World in US Courts: Orrick's Quarterly Review of Decisions Applying US Law To Global Business and Cross-Border Activities. This issue discusses 13 new decisions that...more

What Would Dr. Seuss Say about an Allowance?

by Thomas Fox on

Earlier this month we had the release of a second book by Harper Lee, “Go Set a Watchman”, which was miraculously discovered having been written some 50+ years ago. This week, there was another release from a (now deceased)...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The Commission brought two FCPA cases this week, one of which was in conjunction with the DOJ. Both centered on the payments for gifts and travel in China. In addition, the SEC filed three manipulation cases, an action...more

SEC Complaint Demonstrates That Domestic Bribery Falls Within Its Jurisdiction

by Holland & Knight LLP on

On June 27, 2012, the SEC charged a New York data storage company with misleading investors about bribes it paid to obtain business with a subsidiary of a major investment bank. The SEC alleged in its complaint that the...more

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Cybersecurity

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