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Home » Topics » Regulatory » SEC

SEC
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Acquisitions fodder of US insider trading allegations

July 25, 2022
Insider trading appears to be the U.S. SEC violation du jour. The agency filed insider trading charges against 10 individuals July 25, including a former FBI trainee and his friend who made about $82,000 and $1.3 million, respectively, from illegally trading ahead of the February 2021 announcement of Merck & Co. Inc.’s $1.85 billion tender offer to acquire Pandion Therapeutics Inc.
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Enforcement action against Medifirst inches closer to closure

July 22, 2022
By Mark McCarty
Several U.S. government agencies have been involved in the enforcement action directed toward Medifirst Solutions Inc., of Freehold, N.J., including the Department of Justice, but the Securities and Exchange Commission (SEC) has had its say as well. The SEC recently announced that a final consent judgment has been entered against a former Medifirst stock promoter, although there is still no word as to the fate of the company’s former CEO.
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SEC goes after DMD consultant for insider trading

July 8, 2022
By Mari Serebrov
Another biopharma consultant got on the wrong side of the U.S. SEC for insider trading. To resolve the allegations, Hugh Lee Sweeney, a longtime consultant for Catabasis Pharmaceutical Inc., agreed to a cease-and-desist order, disgorgement of $57,931 and prejudgment interest of $2,499.71, and civil penalties of $57,931.
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U.S., China wrecking balls

Clock is ticking on China-based securities on US exchanges

May 31, 2022
By Mari Serebrov
About $1.7 trillion in securities of China-based issuers listed on U.S. exchanges could face trading prohibitions in as little as two years, Y.J. Fischer, director of the U.S. SEC’s Office of International Affairs, warned during remarks at the May 24 annual meeting of the International Council of Securities Associations.
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Clock is ticking on China-based securities on US exchanges

May 25, 2022
By Mari Serebrov
About $1.7 trillion in securities of China-based issuers listed on U.S. exchanges could face trading prohibitions in as little as two years, Y.J. Fischer, director of the U.S. SEC’s Office of International Affairs, warned during remarks at the May 24 annual meeting of the International Council of Securities Associations.
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Biopharma consultant charged with insider trading

May 24, 2022
An executive compensation consultant is facing both civil and criminal charges related to insider trading in advance of an acquisition announcement by one of his clients, Kadmon Holding Inc.
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U.S. Securities and Exchange Commission

US SEC: Impact of Russian invasion must be disclosed

May 4, 2022
By Mari Serebrov
Before filing financial statements with the U.S. SEC, public companies will need to think about how their business has been impacted by Russia’s invasion of Ukraine and, perhaps, update filings they’ve already submitted.
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China issues new audit rules and weighs giving U.S. regulators full access to audits

April 12, 2022
By Doris Yu
The China Securities Regulatory Commission has issued draft rules to permit U.S. auditors to examine U.S.-listed Chinese companies on April 2, 2022, following a provisional list by the U.S. SEC. The draft rules specified the requirement for the overseas-listed companies and relevant securities service providers to disclose confidential materials in overseas offerings and listing.
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Architectural pillars

US SEC proposal may retract SPAC space

March 31, 2022
By Mari Serebrov
The U.S. SEC is proposing rules that could close off the advantages of going public via a special purpose acquisition company, or SPAC.
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U.S. Securities and Exchange Commission

US SEC moves toward requiring more reporting on climate change

March 21, 2022
By Mari Serebrov
If the U.S. SEC adopts a rule it proposed March 21, all public companies registered with the regulator, including biopharma and med-tech firms, will have to add disclosures about climate change to their other reporting obligations.
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