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Searching Content indexed under Securities by Proskauer Rose LLP ordered by Published Date Descending.
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1
House Financial Services Committee Passes Bill To Expand Dodd-Frank Whistleblower Protection To Internal Whistleblowers
On May 8, 2019, the House Committee on Financial Services passed H.R. 2515, the Whistleblower Protection Reform Act of 2019.
United States
13 Jun 2019
2
[Podcast]: Key Contractual Provisions For Employers To Incorporate In Documents With Confidentiality Covenants
In this episode of The Proskauer Brief, Kate Napalkova, special employee benefits and executive compensation counsel, and associate
United States
12 Jun 2019
3
SEC Awards Whistleblower More Than $4.5 Million
On May 24, 2019, the SEC announced payment of more than $4.5 million to a whistleblower who sent an anonymous tip to the company alleging significant wrongdoing and then submitted
United States
10 Jun 2019
4
DC Circuit Opinion Reaffirms Fiduciary And Disclosure Obligations Of Advisers While Rejecting SEC Finding Of "Willful" Violations
The DC Circuit recently released an opinion addressing the SEC's administrative findings against registered investment adviser The Robare Group (TRG)
United States
28 May 2019
5
OCIE Releases Risk Alert For Investment Advisers And Broker-Dealers, Under Regulation S-P
On April 16, 2019, the SEC's Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert
United States
14 May 2019
6
Warning Shot: Charges Against OneCoin Include Securities Fraud
In early March, the Manhattan U.S. Attorney unsealed indictments against the leaders of the Bulgarian-based "purported" cryptocurrency "OneCoin"
United States
14 May 2019
7
SEC Gives Guidance On Securities Analysis For Digital Assets: TurnKey No-Action Letter And Framework Publication
The Securities and Exchange Commission ("SEC") recently issued highly anticipated guidance to assist market participants in determining whether a digital asset is offered and sold as a security
United States
14 May 2019
8
SEC Gives Guidance On Securities Analysis For Digital Assets
The Securities and Exchange Commission ("SEC") recently issued highly anticipated guidance to assist market participants in determining whether a digital asset is offered and sold as a security.
United States
10 May 2019
9
UK Tax Round Up - April 2019
In Oversea Chinese Banking Corporation Ltd v ING Bank NV, the Commercial Court has held that the measure of damages for breach of warranty in a share sale is simply the difference between the amount paid...
UK
10 May 2019
10
Supreme Court Hearing Raises Questions About Private Rights Of Action Under § 14 Of Securities Exchange
One of the more intriguing rulings of this Supreme Court Term is the Court's one-sentence order yesterday dismissing as improvidently granted the writ of certiorari issued in Emulex Corp.
United States
9 May 2019
11
Regulation Round Up - March 2019
The European Banking Authority ("EBA") published an opinion on deposit protection resulting from the United Kingdom's ("UK") withdrawal from the European Union ("EU")
UK
3 May 2019
12
When Gym Gossip Can Change Your Lifetime
As one of the more closely watched insider trading prosecutions of the past few years heads towards trial, observers can look to the investigation surrounding the 2015 acquisition
United States
1 May 2019
13
Fraud Claims Against Startup Founder Involving Secondary Market Sales Demonstrate SEC Focus On Privately-Held Companies
Last week the SEC announced a settlement of fraud claims against the founder of Jumio, Inc, a private mobile payments company, for misstating the company's financial results
United States
30 Apr 2019
14
SEC Awards $50 Million To Two Whistleblowers
On March 26, 2019, the SEC's Office of the Whistleblower announced two multi-million dollar awards to whistleblowers who provided the SEC ...
United States
11 Apr 2019
15
Two New Bitcoin ETF Proposals Pending As Cryptocurrency Markets Mature
Two recent proposals for bitcoin exchange-traded funds ("ETFs") are vying to become the first to receive approval from the U.S. Securities and Exchange Commission.
United States
11 Apr 2019
16
Gladius Escapes Fines For Unregistered ICO After Self-Reporting To The SEC
Gladius sold its GLA tokens in private and public pre-sales between October and December 2017, raising around $12.7 million worth of Ether.
United States
11 Apr 2019
17
Supreme Court Holds That Persons Who Do Not "Make" Misstatements Can Nevertheless Be Liable For Other Securities-Fraud Violations
The Supreme Court held today that persons who do not "make" material misstatements or omissions.
United States
9 Apr 2019
18
SEC Proposes Reforms For Business Development Companies And Registered Closed-End Funds
The Supreme Court denied a petition for certiorari last Monday in U.S. ex rel. Prather v. Brookdale Senior Living Communities, Inc., No. 17-5826 (6th Cir. June 11, 2018) ...
United States
5 Apr 2019
19
Second Circuit Rejects Securities Claims Based On Generic Statements About Ethics And Compliance
The Court of Appeals for the Second Circuit yesterday affirmed the dismissal of a securities class action alleging misrepresentations arising from generalized statements ...
United States
15 Mar 2019
20
Regulation Round Up - February 2019
The Financial Conduct Authority ("FCA") published a press release announcing that it has agreed with the European Securities and Markets Authority
UK
13 Mar 2019
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