Insights

 
Our lawyers produce a wealth of substantive, timely and practical resource materials for our clients and friends of the firm. Listed separately below are client memos and alerts, articles and books, and podcasts.
May 4, 2021 SEC and CFTC enforcement update
Client Newsletter

 

 
 
 
 
 
April 14, 2021 U.S. federal banking agencies issue statement and RFI on model risk management principles and AML compliance
Client Memorandum
April 5, 2021 FinCEN begins rulemaking for beneficial ownership registry
Client Memorandum
February 12, 2021 SEC changes enforcement practice for settlement offers in cases involving waivers
Client Memorandum
February 9, 2021 SEC acknowledges that disgorgement principles in Liu apply to administrative proceedings
Client Memorandum
January 29, 2021 DOJ and SEC FCPA Resolution Tracker
Client Newsletter
January 26, 2021 Supreme Court relies on “Bridgegate” case to vacate Second Circuit insider trading decision
Client Memorandum
January 4, 2021 Veto override enacts expanded SEC disgorgement authority
Client Memorandum
January 4, 2021 The Anti-Money Laundering Act of 2020 – Key takeaways
Client Memorandum
December 23, 2020 Pandemic Relief Package – PPP and Federal Reserve Provisions
Client Memorandum
December 22, 2020 Banking Agencies Propose Cyber Reporting Rule: Implications for Cybersecurity Compliance
Client Memorandum
December 22, 2020 SEC Disgorgement Authority Would Expand in National Defense Authorization Act
Client Memorandum
December 4, 2020 CFTC Reports Record Year for Enforcement
Client Memorandum
November 3, 2020 SEC Announces 2020 Enforcement Results
Client Memorandum
October 19, 2020 Stock Buybacks Under 10b5-1 Plan Draw SEC Rebuke
Client Memorandum
October 16, 2020 SEC Whistleblower Amendments May Increase Reporting in Smaller Cases
Client Memorandum
October 7, 2020 SBA Guidance: M&A Transactions and PPP Borrowers
Client Memorandum
October 1, 2020 SEC Signals Increased Penalties Post-Liu
Client Memorandum
July 9, 2020 DOJ and SEC Publish Updated FCPA Resource Guide
Client Memorandum
June 23, 2020 Supreme Court Preserves SEC's Disgorgement Authority, But with Limits
Client Memorandum
May 21, 2020 COVID-19 Pandemic Spurs Renewed State and Federal Focus on Price Gouging Enforcement
Client Memorandum
May 11, 2020 Supreme Court Reverses “Bridgegate” Convictions, Clarifies Meaning of “Property” Under Federal Fraud Statutes
Client Memorandum
April 14, 2020 CARES Act Enforcement: A Landscape of Potential Risk
Client Memorandum
March 2, 2020 Federal Judge Acquits Ex-Alstom Executive on FCPA Charges Post Jury Verdict
Client Memorandum
January 30, 2020 SEC Office of Compliance Inspections and Examinations (OCIE) Issues Observations on Cybersecurity and Resiliency Practices
Client Memorandum
January 13, 2020 Financial Institutions Enforcement Update
Client Memorandum
January 7, 2020 Second Circuit Lowers the Bar for Charging Criminal Insider Trading
Client Memorandum
December 13, 2019 FinCEN Director Highlights Value of BSA Reporting; Focuses on Persistent Beneficial Ownership Information Gap
Client Memorandum
December 9, 2019 DOJ Clarifies Position on Agency Liability under the FCPA post-Hoskins; New FCPA Chief Named
Client Memorandum
December 3, 2019 DOJ Clarifies Corporate Enforcement Policy
Client Memorandum
November 18, 2019 Leaning into Fairness: Executive Order On Enforcement
Client Memorandum
November 14, 2019 SEC Describes Active Enforcement Program and Focus on Corporate Conduct in 2019 Annual Report
Client Memorandum
November 4, 2019 Supreme Court to Review SEC’s Authority to Seek Disgorgement
Client Memorandum
October 17, 2019 Leaning Into Transparency: Executive Order on Guidance
Client Memorandum
September 10, 2019 District Court Opens the Door to Potential Restitution Claims in FCPA Cases
Client Memorandum
August 13, 2019 SFO Announces New Corporate Cooperation Guidance
Client Memorandum
July 22, 2019 DOJ Expands Opportunities for Cooperation Credit in Criminal Antitrust Investigations
Client Memorandum
July 18, 2019 Chairman Jay Clayton Announces Change in SEC Waiver Process
Client Memorandum
March 8, 2017 Ninth Circuit Dodd-Frank Whistleblower Opinion
Client Newsflash
January 5, 2017 Circuit Court Split over the Constitutionality of SEC Administrative Law Judges Tees Up Issue for the Supreme Court
Client Memorandum
January 3, 2017 White Collar Update: Teva to Pay $519 Million in FCPA Resolution, a Pharmaceutical Industry Record
Client Memorandum
December 23, 2016 White Collar Update: Odebrecht and Braskem to Pay Record FCPA Penalty of at Least $3.5 Billion in Petrobras Fallout
Client Memorandum
December 22, 2016 SEC Announces Two Enforcement Actions Regarding Restrictive Language in Severance Agreements
Client Memorandum
December 8, 2016 White Collar Update: Supreme Court Rejects Second Circuit’s Narrow Interpretation of Insider-Trading Law
Client Memorandum
June 6, 2016 2nd Cir. Holds that the Federal Courts Lack Jurisdiction to Hear Attacks Against Ongoing SEC Administrative Proceedings
Client Memorandum
May 26, 2016 2d Cir. Reverses $1.3B Penalty, Finding That Countrywide Did Not Defraud Government
Client Memorandum
April 19, 2016 White Collar Update: DOJ Announces One-Year FCPA Self-Reporting Pilot Program
Client Memorandum
April 13, 2016 White Collar Update: D.C. Circuit Reaffirms Prosecutors’ Authority over Deferred Prosecution Agreements
Client Memorandum
March 9, 2016 CFPB Brings First Ever Data Security Enforcement Action: Review and Analysis
Client Memorandum
February 23, 2016 SEC Decides Not to Pursue Clawback Actions Against Executives Who Reimbursed Company for Previously Paid Compensation
Client Memorandum

Pages

Insights Search: