...Alan R. Friedman; Dani R. James; Gary P. Naftalis; Paul H. Schoeman; Chase Henry Mechanick Purpose To analyze the U.S, Supreme Court’s decision in Liu v. S.E.C., 140 S. Ct. 1936 (2020) and its potential implications for insider trading cases. Design/Methodology/Approach Provides...

... Outlines the general disclose requirements and the materiality standard set forth by the SEC, explains specific guidance on public company cybersecurity disclosure, and discusses cybersecurity risk management and insider trading policies. Findings In addition to clarifying the disclosure requirements...

...Nicolas Morgan; Art Zwickel; Thomas A. Zaccaro; Jenifer Q. Doan Purpose To explain the import of a recent enforcement action by the US Securities and Exchange Commission (SEC) against an investment adviser for failing to prevent insider trading against the context of an unsettled legal definition...

... of a newly-promulgated regulatory Rule to punish “insider trading” involving the commodities markets. Findings The CFTC has shown that it intends to apply its new Rule aggressively to address insider trading in the commodities markets. Practical implications As a result of the CFTC’s new enforcement...

... to protect against improper use of material non-public information by employees. Design/methodology/approach – Reviews Securities and Exchange Commission settlement order with broker-dealer for violations of securities laws for failure to adequately prevent insider trading by employees and provides...

...Jonathan Green; Aaron Miner Purpose – To summarize and draw conclusions from the insider trading suit brought against well-known entrepreneur Mark Cuban in 2008. Design/methodology/approach – Summarizes the facts of the 2008 case, brought by the SEC against Cuban for allegedly...

...Jeffrey Lehtman; William White Purpose – The purpose of the paper is to discuss the SEC's increased willingness to pursue insider trading enforcement actions related to transactions that take place largely outside the USA. Design/methodology/approach – The paper describes several recent...

... of the Russian Federation”. Design/methodology/approach The paper discusses the current status of the legislation and certain issues that have yet to be resolved. Findings The Insider Trading Law came into effect on July 31, 2011, but a number of statutory duties of the insiders are postponed...

...Duncan Black; Angelo Lercara; Joe Smallhoover; Paul Huey‐Burns Purpose The purpose of this paper is to assess the FSA's recent, allegedly soft approach toward insider trading and compare it with current approaches in the USA, France, and Germany Design/methodology/approach Discusses reasons...

..., or investment adviser's] business, to prevent the misuse” of material nonpublic information. These requirements are not new – they were enacted as part of the Insider Trading and Securities Fraud Enforcement Act of 1988 (“ITSFEA”) [8] , and since the early 1990s the SEC has brought a number of enforcement...

... over insider trading and suggests that firms review their “information wall” procedures. Findings At a minimum, a firm's information wall procedures should include the following elements: surveillance of employee trading; supervision of interdepartmental communications, including “walling off...

... markets Insider trading United Kingdom Regulation 1.3: The sanctions that may be imposed following a finding of market abuse are severe. Offenders may face unlimited financial penalties and, if they work in the financial services industry, they may have their livelihoods removed by having...