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Delaware high court revives Caremark claim against Blue Bell board
Proving a Caremark claim is notoriously difficult, but a Blue Bell shareholder adequately pleaded the absence of any board-level system for monitoring food safety.
SEC seeks comment on Securities Act registration exemptions
A new concept release reviews exemptions from registration and seeks comment on possible ways to how to improve several aspects of the existing exempt offering framework.
Appeals court upholds FINRA pay-to-play rule
The D.C. Circuit upheld the SEC’s approval of a FINRA rule barring placement agents from getting paid for soliciting government business after making political contributions.
KPMG hit with $50M penalty for stealing PCAOB inspection documents, cheating on exams
Enforcement Co-Director Steve Peiken said that in two separate courses of conduct, KPMG personnel attempted to compromise efforts to test their performance through the theft of confidential PCAOB...
Chinese bank affiliate to pay over $45M for ‘phantom’ ADRs, bid-rigging conspiracy
A broker-dealer subsidiary of Industrial and Commercial Bank of China agreed to settle SEC charges that the firm improperly handled "pre-released" American Depositary Receipts while also...