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Adobe PDFUn-Confidential Agreements: Another Brush Off An Attorney's Palette
Michael A. Kaplan, Robert J. Kipnees; Lowenstein Sandler LLP;
Legal Alert/Article
October 11, 2013, previously published on October 2013
On September 17, 2013, the SEC “announced enforcement actions against [twenty-three] firms for short selling violations.” Twenty-two of those firms agreed to settle the charges against them. The details of how those settlements came about will probably never be known, yet it is likely...

 

HTMLSEC Awards Whistleblower More Than $14 Million - Largest Award to Date
Sutherland Asbill Brennan LLP;
Legal Alert/Article
October 7, 2013, previously published on October 4, 2013
In a press release issued on October 1, 2013, the U.S. Securities and Exchange Commission (SEC or Commission) announced its largest whistleblower award yet of $14 million. The recipient of the award is an individual whistleblower who reported information that led to a successful enforcement action...

 

HTMLSEC Whistleblower Awarded Record $14 Million
Jackson Lewis P.C.;
Legal Alert/Article
October 4, 2013, previously published on October 3, 2013
The Securities and Exchange Commission (SEC) has announced that an unidentified whistleblower, “who voluntarily provided original information” to the SEC “that led to the successful enforcement” action against an undisclosed company, has been awarded a record $14 million....

 

HTMLMary Jo White Throws Down the Gauntlet: Vows to Wield the SEC's Full Enforcement Arsenal Against Corporate and Individual Wrongdoers
Hillary S. Profita, Michael J. Rivera; Venable LLP;
Legal Alert/Article
October 4, 2013, previously published on September 2013
Securities and Exchange Commission Chair Mary Jo White warned that the SEC will pull no punches under the leadership of the former federal prosecutor. During a speech delivered to the Council of Institutional Investors last week in Chicago, Ms. White stated that the SEC would use its enforcement...

 

HTMLChina Unveils a Blacklist System for Recording Bad Conduct and Foul Play in the Field of Outbound Investment and Foreign Trading
Brian D. Beglin, Jin Wang, Xiaowei Ye; Bingham McCutchen LLP;
Legal Alert/Article
October 4, 2013, previously published on October 1, 2013
On September 23, 2013, China’s Ministry of Commerce published a new trial measure jointly issued by it and eight other ministries that aims to collect and publish a list of Chinese and non-Chinese enterprises, organizations and individuals who have committed bad acts or engaged in foul play...

 

HTMLThe False Claims Act Public Disclosure Bar and the Meaning of “News Media”
Berger Montague P.C.;
Legal Alert/Article
October 1, 2013
Under the False Claims Act, 31 U.S.C. 3730(e)(4)(A)(iii), "the court shall dismiss an action or claim . . . unless opposed by the government, if substantially the same allegation or transaction as alleged in the action or claims were publically disclosed from the news media. Because...

 

HTMLSEC Issues Risk Alert on Short Selling
Parker B. Morrill, Michael J. Rivera; Venable LLP;
Legal Alert/Article
September 30, 2013, previously published on September 2013
On September 17, 2013, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a risk alert related to Rule 105 of Regulation M, which governs short selling prior to the pricing of certain offerings. This risk alert was issued the same day the SEC announced enforcement...

 

HTMLCanada’s First “FCPA” Trial & Increased International Law Enforcement Cooperation
Holland Hart LLP;
Legal Alert/Article
September 30, 2013, previously published on September 27, 2013
The frequency and scope of international law enforcement cooperation has increased markedly in recent years. Although such cooperation has slowly emerged for decades, the recent explosion of cooperation has been facilitated in large part by the expansion of instantaneous international...

 

HTMLIllinois County Recorders May Now Investigate Fraudulent Documents
Carolyn Artus; Weltman, Weinberg & Reis Co., L.P.A.;
Legal Alert/Article
September 26, 2013, previously published on September 21, 2013
On July 19, 2013, the Governor of Illinois signed a new law to combat property fraud, effective immediately. The law provides that a county recorder may establish a "fraud referral and review" process for deeds and instruments that the county recorder reasonably believes may be...

 

HTMLSEC Proposes Rule Requiring Public Companies to Disclose Pay Ratios
Carmen M. Fonda, Parker B. Morrill, Eric R. Smith; Venable LLP;
Legal Alert/Article
September 25, 2013, previously published on September 2013
On September 18, 2013, as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, the SEC proposed rules requiring public companies to disclose the median of the annual total compensation of all employees, the annual total compensation of the CEO, and the ratio of the...

 


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