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All of the adopted RTS are subject to approval by the European Parliament and Council of the European Union, following which they will be published and come into force.

Global Legal Update Newsletter May 2016を発行いたしました。

With increased enforcement pressure and new incentives for insiders to report misconduct, antitrust compliance is more critical than ever. Companies need to understand how evolving Department of Justice...

The U.S. Department of Justice has opened a new section focused on criminal antitrust enforcement to address the division’s workload.

Peter Snee, former managing director of Franklin Hodge Industries, has pleaded guilty to a single count of the UK’s criminal cartel offence for his role in fixing prices for the supply of water storage tanks.

In a landmark May 26, 2016 decision, the U.S. Court of Appeals for the Eleventh Circuit became the first appellate court to rule that Securities and Exchange Commission (‘‘SEC'') actions for disgorgement are subject to a statute of limitations.

In recent years, it has not been unusual to see, on a daily basis, a news report where a business has been either the victim, or the perpetrator, of crime.

Jan Handzlik and Widge Devaney published "FCPA Year in Review 2013, Part 3" in Corporate Compliance Insights on April 2, 2014

The SEC charged an investment advisory firm with several Investment Advisers Act violations in relation to allegations that the firm defrauded investors by misleading them about the performance track record...

This article provides a general overview of insider trading laws, outlines key developments since early 2013, and highlights recent trends and open issues pending before the Supreme Court.

In this edition of the U.S. Regulatory Roundup, the Duff & Phelps Compliance and Regulatory Consulting practice outlines updates and enforcement and judicial actions from the SEC, FINRA, NFA and CFTC ...

A New Jersey-based commercial real estate broker agreed to pay $225,000 in disgorgement to settle SEC charges arising out of the attempted bribery of a foreign official.

The United States Attorney's Office for the Southern District of New York ("SDNY") indicted three foreign nationals on charges of insider trading, wire fraud and computer hacking.

In a recent Investor Bulletin, the SEC OIEA cautioned investors about "potential investment schemes in which fraudsters send fake Forms 4 to investors who paid for the purported purchase of shares."

The SEC charged two former traders for Nomura Securities International Inc. ("Nomura") with securities fraud.

The SEC charged an investment banker with fraud for "serial" trading based on confidential, non-public information.

My colleague, Heidi Lawson recently wrote a post on Securities Matters that analyzed the implications of the Justice department's newest initiative to prosecute executives for white collar crimes...