A Review of U.S. Law on Force Majeure, Frustration of Purpose, Impracticability and Impossibility -
The current outbreak of COVID-19 coronavirus, recognized by the World Health Organization as a global pandemic, has...more
The numerous submissions made in response to the requests for comment by the Securities and Exchange Commission (the “SEC” or “Commission”) highlight that many of the proposed amendments to the whistleblower rules, if...more
10/8/2018
/ Amended Regulation ,
Anti-Retaliation Provisions ,
Civil Monetary Penalty ,
Confidentiality Agreements ,
Deferred Prosecution Agreements ,
Delays ,
Digital Realty Trust Inc v Somers ,
Dodd-Frank ,
Double Recovery ,
Internal Reporting ,
Non-Prosecution Agreements ,
Proposed Amendments ,
Proposed Guidance ,
Public Comment ,
Reporting Requirements ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Settlement ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
The U.S. Securities and Exchange Commission (the “Commission”) has reported to Congress that its Whistleblower Incentives and Protections program continues grow, not only in terms of the number of tips received and the number...more
Judge Furman of the SDNY Dismisses Claims Against Major Exchanges and Barclays, Holding That Facilitating HFT Does Not Constitute Actionable Market Manipulation -
Judge Jesse Furman of the United States District Court...more
Last week, the New York Supreme Court denied Barclays’ motion to dismiss the New York Attorney General’s fraud claim against the bank, finding that the NYAG may proceed with its claim under New York’s Martin Act based on...more
In a unanimous decision written by Chief Justice John G. Roberts, Jr., the United States Supreme Court has ruled that the Government does not have an unlimited amount of time to bring civil penalty actions based on fraud. In...more
3/1/2013
/ Cause of Action Accrual ,
Discovery Rule ,
Enforcement Actions ,
Fraud ,
Gabelli v SEC ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Penalties ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Statute of Limitations