News & Analysis as of

Insider Trading Personal Liability

BCLP

Covid-19: Wrongful Trading

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For directors of companies facing financial difficulties, the wrongful trading regime can be front of mind, given the exposure to risk of personal liability....more

Skadden, Arps, Slate, Meagher & Flom LLP

"Inside the Courts: An Update from Skadden Securities Litigators - February 2017 / Volume 9 / Issue 1"

We are pleased to present Inside the Courts (Volume 9, Issue 1), Skadden’s securities litigation newsletter. This quarter’s issue includes summaries and associated court opinions of selected cases principally decided between...more

Brooks Pierce

The Insider Trading Cartoon Series, Vol. XII -- The Innocent Intermediary

Brooks Pierce on

Join us as our heroine Jane gives away a little too much information to her husband Bob, who then seeks legal advice about what he's heard. Bob's lawyer Nikhil gives good advice by telling him to keep a lid on it, but then...more

Butler Snow LLP

Is Love All You Need? Supreme Court to Decide Standard for Tipper Liability

Butler Snow LLP on

In recent weeks amicus curiae briefs have been flooding into the U.S. Supreme Court in the case of Salman v. U.S., an appeal from the Ninth Circuit’s decision in U.S. v. Salman, 792 F.3d 1087 (9th Cir. 2015). The Supreme...more

Dechert LLP

Regulatory Enforcement in the UK - A Retrospective on 2015. Can the Fines Get Any Bigger?

Dechert LLP on

When the UK Financial Services Authority became the Financial Conduct Authority (“FCA”) in April 2013, we were told that this would herald a tougher and more intrusive style of regulation. The FCA’s enforcement record in the...more

Morrison & Foerster LLP

Cooperation Pays in Insider Trading Enforcement and Sentencing

In This Issue: - Overview - Insider Trading Law - Insider Trading Penalties - Cooperating with the Government - Cooperating with the Department of Justice - Cooperating with the Securities and Exchange...more

Sheppard Mullin Richter & Hampton LLP

Second Circuit Upholds SEC’s Authority to Obtain Disgorgement from Non-Trading Insider Profits Earned by Portfolio Fund from...

In SEC v. Contorinis, 2014 U.S. App. LEXIS 2927 (2d Cir. Feb. 18, 2014), the United States Court of Appeals for the Second Circuit upheld the authority of the Securities and Exchange Commission (“SEC”) to obtain...more

Dechert LLP

Financial Services Quarterly Report - Fourth Quarter 2013: Political Intelligence Firms – Insider Trading and Enforcement Shifts...

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Insider trading remains a top priority for the Securities and Exchange Commission (SEC) and Department of Justice (DoJ). In fiscal year 2012, the SEC filed 58 enforcement actions against 131 individuals and entities and the...more

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