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Recent News

Apple’s senior attorney charged with insider trading

The attorney’s insider trading, which netted him $382,000 in profits and avoided losses, was exacerbated by his being the director for implementing the company’s anti-insider trading policy.

CFTC divisions announce 2019 exam priorities

The release of 2019 examination priorities for the Divisions of Market Oversight, Swap Dealer & Intermediary Oversight, and Clearing & Risk marks the first time the agency has published examination priorities for its divisions.

CorpFin says Johnson & Johnson can exclude shareholder proposal on mandatory arbitration

Chairman Clayton acknowledged the complexity of the mandatory arbitration issue in a separate statement noting the propriety of CorpFin’s staff view that the company could exclude the proposal.

Data behind statements was flawed, but company didn't know it

What a company said about data used in marketing and sales later turned out to be wrong, but that was more likely the result of simple negligence than fraud.

Lawmakers to introduce mirror image corporate diversity bills

The bills advocated by Sen. Menendez (D-NJ) and Rep. Meeks (D-NY) come as diversity issues gain traction, including new SEC guidance and California’s law. Senator Menendez said his own study of big companies shows a need for greater "representational diversity.&qu

Illinois accountant charged for misappropriating approximately $65 million

Fraudulent loan documents, forged authorizations, false account statements, and Ponzi-type payments were used to conceal fraud.

High Court asked to resolve circuit split on duty to update

Must an issuer update an accurate statement that is made false when circumstances change? A new petition for certiorari argues that the Ninth Circuit got it wrong.

Summary judgment against commodity adviser affirmed despite lower court’s application of wrong standard

Under both civil and criminal applications of the term "willful," no genuine issue of fact existed as to whether the adviser lied.

‘Shareholders United’ bill would restrict corporate political spending

The bill could address concerns identified by Chief Justice Leo Strine of the Delaware Supreme Court that stockholders should have a say in whether corporations make political contributions.

SRI panelists advise on crisis management, board obligations, ESG reporting; highlight M&A trends

A board’s obligation is to do what is right for the company, and directors should bring their own experiences and an element of skepticism to decision-making process, Delaware Supreme Court Chief Justice Leo Strine noted.

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