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|Supreme Court Justices Appear Hesitant to Narrow the Scope of Insider Trading Liability|
Jodi L. Avergun, Douglas H. Fischer, Alexander Hokenson, Joseph V. Moreno, Emily J. Rockwood; Cadwalader, Wickersham & Taft LLP;
October 13, 2016, previously published on October 7, 2016Since the Second Circuit Court of Appeals’ December 2014 decision in United States v. Newman,1 the government’s ability to aggressively pursue insider trading cases involving tipping has been in doubt. But, on October 5, the Supreme Court heard oral arguments in Salman v. United...
|The SEC Retains its House Advantage During Administrative Proceedings|
Jodi L. Avergun, Douglas H. Fischer, Joseph V. Moreno, Emily J. Rockwood, Martin L. Seidel; Cadwalader, Wickersham & Taft LLP;
August 16, 2016, previously published on August 5, 2016Facing pressure from industry practitioners and in the wake of constitutional challenges in multiple jurisdictions, the Securities and Exchange Commission (“SEC”) recently amended its Rules of Practice that apply to proceedings before an administrative law judge (“ALJ”).1...
|Mexico Enacts New Anti-Corruption Laws|
Theodore T. (Ted) Chung, Karen P. Hewitt, Guillermo E. Larrea, Bertha Alicia Ordaz-Avilés, Cristina Pérez Soto; Jones Day;
August 5, 2016, previously published on July 2016On July 18, 2016, Mexican President Enrique Peña Nieto approved the laws of Mexico's new National Anti-Corruption System, declaring that he is "more than committed to combating corruption, hence the importance of the system." The objective of the National Anti-Corruption System is...
|Potential Risks and Rewards of Cybersecurity Information Sharing Under CISA|
Peter Carey, Keith M. Gerver, Joseph V. Moreno, Emily J. Rockwood; Cadwalader, Wickersham & Taft LLP;
August 5, 2016, previously published on July 21, 2016When President Obama signed into law the Cybersecurity Act of 2015, which was designed to facilitate information sharing on cybersecurity threats between the public and private sectors, proponents hailed it as “our best chance yet to help address this economic and national security priority...
|It’s a Mad, Mad, Madden World|
Scott A. Cammarn; Cadwalader, Wickersham & Taft LLP;
August 5, 2016, previously published on June 29, 2016On Monday, June 27, 2016, the Supreme Court of the United States denied the petition for certiorari in Midland Funding LLC v. Madden, No. 15-610. The Supreme Court’s denial leaves intact the unusual - and troubling - decision by the U.S. Court of Appeals for the Second Circuit, Midland...
|SEC Proposal Would Require Business Continuity and Transition Plans for Investment Advisers|
Garret Filler, Dorothy D. Mehta, Joseph V. Moreno; Cadwalader, Wickersham & Taft LLP;
August 5, 2016, previously published on June 30, 2016Citing the ongoing risk of terrorist and cyber-attacks, the 2008 financial crisis, and Hurricanes Katrina and Sandy, the Securities and Exchange Commission (“SEC”) has issued proposed rules under the Investment Advisers Act of 1940 (“Advisers Act”) that would require...
|Whistleblower Policy Bulletin|
Maureen Doherty, Suzanne Kittell, Caitlin Sainsbury; Borden Ladner Gervais LLP;
August 4, 2016, previously published on July 15, 2016The Ontario Securities Commission's (the "Commission") highly publicized Whistleblower Policy (15-601) (the "Policy") came into effect July 14, 2016 after an extensive comment period running through much of 2015 and 2016.
|U.S. Supreme Court Strengthens Protections for Criminal Defendants' Right to Counsel in the Federal Courts|
Duane Morris LLP;
July 23, 2016, previously published on March 31, 2016On March 30, 2016, the U.S. Supreme Court held that the Sixth Amendment to the United States Constitution guarantees a defendant’s right to access his or her funds that are untainted by any criminal conduct to pay for counsel. In Luis v. United States, 578 U.S.---(2016), the Supreme Court...
|McDonnell Decision and the FCPA|
Duane Morris LLP;
July 22, 2016, previously published on June 30, 2016On June 27, 2016, in the last decision of the 2015-2016 term, the U.S. Supreme Court, in McDonnell v. United States, No. 15-474, narrowed the type and character of “official acts” that could underpin corruption charges against a public official. Federal prosecutors contended that former...
|Supreme Court Limits Extraterritorial Application of RICO|
Anthony J. Dick, Gregory G. Katsas, Hashim M. Mooppan, Jacob M. Roth; Jones Day;
July 10, 2016, previously published on June 2016On June 20, 2016, the United States Supreme Court issued a major decision restricting the extraterritorial application of the Racketeer Influenced and Corrupt Organizations Act ("RICO"). The Court held that RICO's criminal provisions apply extraterritorially to a limited extent but that...