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Enforcement Actions Financial Markets Investors

Blake, Cassels & Graydon LLP

La CVMO met la touche finale aux règles sur la distribution de fonds récupérés aux investisseurs lésés

Le 12 juin 2025, la Commission des valeurs mobilières de l’Ontario (la « CVMO ») a publié ses règles définitives afin de mettre en œuvre un nouveau cadre législatif qui facilitera la distribution aux investisseurs lésés de...more

Cornerstone Research

Securities Class Action Filings Increase for Second Consecutive Year in 2024

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AI-related filings more than double and 1933 Act filings continue to decline. The number of securities class action filings increased for the second consecutive year in 2024, with artificial intelligence (AI)-related...more

Mintz

The Last Remaining FX Defendant Prevails at Trial

Mintz on

Introduction - Class Plaintiffs in the case of In re Foreign Exchange Benchmark Rates AntiTrust Litigation alleged that Defendant banks conspired to fix prices in the foreign exchange (“FX”) market in violation of Sections 1...more

White & Case LLP

MD&A disclosure in volatile times

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Current macroeconomic and geopolitical uncertainty may make it difficult for companies to know how to tackle their Management’s Discussion and Analysis of Financial Condition and Results of Operations ("MD&A") disclosure. In...more

A&O Shearman

Consulting Firm Settles Allegations That It Had Inadequate Procedures For Handling Of MNPI Between Units

A&O Shearman on

On November 19, 2021, the Securities and Exchange Commission (“SEC”) announced that an affiliate of McKinsey & Company (“McKinsey”), McKinsey Investment Office Partners, Inc. (“MIO”), had agreed to pay an $18 million penalty...more

Robins Kaplan LLP

Financial Daily Dose 9.16.2019 | Top Story: Weekend Attack on Aramco Oil Fields Sends Energy Prices Soaring

Robins Kaplan LLP on

A drone attack on Saudi Aramco oilfields this weekend affected 5% of global production and sent “energy prices substantially higher” late Sunday and early today. Analysts don’t anticipate a “severe shock to energy markets and...more

Robins Kaplan LLP

When Does a Tweet Fall Afoul of Regulation FD

Robins Kaplan LLP on

On August 7, 2018, Tesla CEO Elon Musk used his personal Twitter account (@elonmusk) to propose a buyout of the company for $420 a share, stating that funding was secured....more

Proskauer - Blockchain and the Law

Further SEC action and guidance with respect to ICOs and cryptocurrencies

The SEC took two additional steps today in its regulation and oversight of the initial coin offering (“ICO”) and cryptocurrency markets. In the SEC’s latest action targeting an ICO, the SEC Enforcement Division’s new Cyber...more

Proskauer Rose LLP

Regulation Round Up - February 2017

Proskauer Rose LLP on

The FCA and PRA announced changes to enforcement process with the aim of strengthening the transparency and effectiveness of enforcement decision-making processes. Some of the changes have already come into force, the rest...more

Carlton Fields

Can “Bad Actors” Wave Goodbye to SEC Waivers?

Carlton Fields on

The SEC has been thinking harder before waiving automatic disqualifications that the federal securities laws and regulations impose on so-called "bad actors." Without such waivers, companies may be barred from, among...more

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