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Documents on Securities, Internet & E-Commerce, Government
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|Government’s Decision Not to Charge Phil Mickelson Illustrates Difficulties in Proving Insider Trading Cases Against Tippees|
Douglas H. Fischer, Joseph V. Moreno, Kendra (Clayton) Wharton; Cadwalader, Wickersham & Taft LLP;
June 8, 2016, previously published on May 24, 2016On May 19, 2016, the United States Attorney’s Office for the Southern District of New York and the Securities and Exchange Commission (“SEC”) announced insider trading charges against Las Vegas sports bettor William (“Billy”) Walters and former Dean Foods chairman...
|U.S. Senate Banking Committee Expected To Begin Confirmation Process For Two Nominated SEC Commissioners|
Sutherland Asbill Brennan LLP;
March 7, 2016, previously published on March 4, 2016According to the Wall Street Journal, Senator Richard Shelby, the Chairman of the Senate Banking Committee, is ready to initiate the confirmation process for Lisa Fairfax and Hester Pierce, who were nominated by President Obama last fall to fill the two vacant seats at the SEC. A date has yet to be...
|CFTC Intermediaries to Adopt and Implement Cybersecurity Programs by March 1, 2016|
Brian Barrett, James M. Cain, Daniel E. Frank, Daphne G. Frydman, Catherine M. Krupka; Sutherland Asbill & Brennan LLP;
March 2, 2016, previously published on February 29, 2016Commencing March 1, 2016, all commodity pool operators, commodity trading advisors, futures commission merchants, retail foreign exchange dealers, investment brokers, major swap participants and swap dealers that are National Futures Association (NFA) member firms (together the Covered Parties)...
|Political Intelligence Firm Fined $375,000, Underscoring Need to Tailor Insider Trading Policies to Interactions with Government|
Rachel E. Goldstein, Bryson B. Morgan, Trevor Potter, Matthew T. Sanderson; Caplin & Drysdale, Chartered;
December 22, 2015, previously published on December 1, 2015On November 24, 2015, the Securities Exchange Commission announced the conclusion of a four-year investigation into Washington, D.C., political intelligence firm Marwood Group Research, LLC, for sharing material non-public information ("MNPI") about future government actions with hedge...
|REMINDER: Register for Wednesday Webinar! Another Cop on the Cybersecurity Beat: What to Do Before and After the SEC and FINRA Come Knockin|
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
October 1, 2015, previously published on September 28, 2015The SEC has announced a new round of cybersecurity inspections at broker-dealer and registered investment advisory firms. If that’s not enough to catch your attention, just days after issuing the Risk Alert, the SEC censured and fined a St. Louis-based investment advisor for a failure to...
|Lessons from the SEC’s First “Pretaliation” Whistleblower Enforcement Action|
Timothy J. Fitzmaurice, Joshua P. "Josh" Gunnemann; Rogers & Hardin;
May 22, 2015, previously published on Aprill 2015On April 1, 2015, the SEC brought the first “pretaliation” whistleblower enforcement action, finding that a confidentiality agreement used by KBR, Inc., a Houston-based technology and engineering firm, violated whistleblower anti-retaliation rules the Commission enacted pursuant to the...
|The Anthem Breach Silver Lining|
Diane D. Reynolds; Taft Stettinius & Hollister LLP;
April 23, 2015, previously published on February 5, 2015Anthem may have just experienced the largest health care data breach in U.S. history, with potentially 80 million individuals at risk from this “very sophisticated external cyber-attack,” according to Anthem Chief Executive Joseph Swedish. There will be months of analysis, debate and...
|White House Issues Proposal for FTC-Regulated Data Privacy Protection|
M. Christine Carty; Schnader Harrison Segal & Lewis LLP;
April 20, 2015, previously published on March 2015On February 27, 2015, the White House proposed legislation to protect consumers’ personal data and information that is collected and used by private companies and nonprofits. Federal and state governments and their agencies are not covered by the proposed law.
|Safeguarding Your Information Assets: Are You Prepared?|
Stephenie Wingyuen Yeung; Schnader Harrison Segal & Lewis LLP;
April 20, 2015, previously published on January 2015In view of the well-publicized data breaches in 2014 and the current renewed federal legislative focus on privacy and data security issues, we are providing this Alert to highlight some action items to safeguard your company’s information assets, and reduce exposure to liability in the event...
|NYDFS to Collect Data on Cyber Security, but Could Hackers Use This Database as a Road Map to Launch Targeted Attacks?|
Jonathan L. Bing, Melissa K. Ventrone; Wilson Elser Moskowitz Edelman & Dicker LLP;
April 6, 2015, previously published on March 31 2015On March 26, 2015, the New York State Department of Financial Services (NYDFS) announced that it is broadening the scope of questions and topics in its current information technology (IT) examination framework. In addition, the NYDFS requires insurers to provide a response to 16 questions about...