Search
Searching Content indexed under Corporate and Company Law by Douglas J. Davison ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
2014 CFTC Enforcement Year-In-Review, And A Look Forward
In 2014, the Commodity Futures Trading Commission ("CFTC" or the "Commission") filed 67 new enforcement cases
United States
11 Feb 2015
2
Keeping Current: SEC Enforcement Actions Emphasize Importance Of Stock Ownership Reporting Obligations For Public Companies And Insiders
On September 10, 2014, the Securities and Exchange Commission (SEC) announced charges against 28 officers, directors, and major stockholders of public companies for violating Section 16(a) and/or Section 13(d) of the Securities Exchange Act of 1934, as amended (the Exchange Act).
United States
8 Dec 2014
3
SEC Enforcement Actions Emphasize Importance Of Stock Ownership Reporting Obligations For Public Companies And Insiders
On September 10, 2014, the Securities and Exchange Commission (SEC) announced charges against 28 officers, directors and major stockholders of public companies for violating Section 16(a) and/or Section 13(d) of the Securities Exchange Act of 1934, as amended (the Exchange Act).
United States
9 Oct 2014
4
Update: Tourre Extends SEC's Reach For Foreign Transactions Involving Domestic Offerings
A recent decision by Judge Katherine Forrest of the U.S. District Court for the Southern District of New York clarified the scope of the Securities and Exchange Commission's (the ''SEC'') ability to pursue fraud charges in foreign securities transactions involving domestic offerings
United States
16 Sep 2013
5
String Of Recent Circuit Court Opinions Impact SEC Enforcement Program
Four federal circuit courts recently issued a string of rulings that are likely to have an impact on the manner in which the Securities and Exchange Commission seeks to police the financial markets and penalize alleged misconduct.
United States
14 Sep 2012
6
PCAOB Focuses On Audit Committee Interactions With Auditors
This article discusses the Public Company Accounting Oversight Board's new guidance to audit committees on the PCAOB inspection process and the PCAOB's new auditing standard on auditor communications with audit committees.
United States
29 Aug 2012
Links to Result pages
 
1