Anyone who holds a large position in a securities-based swap should be aware of new rules proposed by the Securities and Exchange Commission (SEC). The proposed rules aim to prevent fraudulent, manipulative and deceptive activity with regard to securities-based swaps....
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Month: December 2021
Attorney Kevin O’Brien’s Article Was Published in Reuters
Kevin J. O’Brien writes, “While the verdict in this case has yet to be decided, the prosecution effectively inoculated itself against the defense’s possible arguments by presenting a broad range of authoritative testimony to the contrary.” Read Full Article
New Podcast Episode of The FCPA Compliance Report: Kevin J. O’Brien Discusses the Elizabeth Holmes Trial
Kevin J. O’Brien takes a deep dive into the Elizabeth Holmes trial, critiquing both the prosecution and defense with The Voice of Compliance, Tom Fox. Listen to the Podcast
New Podcast Episode of The FCPA Compliance Report: Kevin J. O’Brien Discusses the Elizabeth Holmes Trial
Kevin J. O’Brien takes a deep dive into the Elizabeth Holmes trial, critiquing both the prosecution and defense with The Voice of Compliance, Tom Fox. Listen to the Podcast
Ex-Informant Says Florida Court Can’t Hear SEC Suit | Law360
Amid his related bid to hold the agency in contempt for violating a New Jersey federal court order, the ex-informant raised a jurisdictional challenge in asking the Florida court to toss an SEC complaint. Read Full Article