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.
August 6, 2020 SEC and CFTC Enforcement Update
Client Newsletter
July 29, 2020 DOJ and SEC FCPA Resolution Tracker
Client Newsletter
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
June 8, 2020 Inadequate Perk Disclosure Remains in SEC’s Sights
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
March 25, 2020 How the SEC Enforcement Division Responds to a Crisis
Client Memorandum
January 21, 2020 House Passes 8-K Trading Gap Act
Client Memorandum
January 7, 2020 Second Circuit Lowers the Bar for Charging Criminal Insider Trading
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 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
July 18, 2019 Chairman Jay Clayton Announces Change in SEC Waiver Process
Client Memorandum
June 26, 2019 Rep. Waters Proposes Changes to SEC "Bad Actor" Waiver Process
Client Memorandum
May 7, 2019 DOJ Provides Additional Guidance and Clarity Regarding Its Evaluation of Corporate Compliance Programs
Client Memorandum
March 21, 2019 Regulators Join in Event-Driven Securities Litigation: The SEC Files New Action Against Volkswagen
Client Memorandum
March 11, 2019 CFTC Is Latest Entrant to Anti-Corruption Enforcement
Client Memorandum
August 31, 2018 Second Circuit Holds the FCPA Does Not Extend to Non-U.S. Persons Absent U.S. Nexus
Client Memorandum
July 6, 2018 SEC’s Proposed Amendments to Its Whistleblower Program May Increase Reporting of Potential Securities-Law Violations to the SEC
Client Memorandum
July 5, 2018 SEC Issues Sanctions for Inadequate Perk Disclosure
Client Memorandum
July 5, 2018 In Amended Decision, U.S. Court of Appeals (Second Circuit) Leaves Open the Ability to Prosecute Insider Trading Absent Evidence of a “Meaningfully Close Personal Relationship”
Client Memorandum
July 2, 2018 New York’s Highest Court Holds That Three-Year Statute of Limitations Applies to Martin Act Claims
Client Memorandum
June 25, 2018 Supreme Court Holds that SEC Administrative Law Judges Have Been Unconstitutionally Appointed in Decision that is Likely to Have Far-Reaching Impact
Client Memorandum
May 11, 2018 Deputy Attorney General Rosenstein Announces New Policy to Avoid “Piling On” in Corporate Enforcement Actions
Client Memorandum
April 27, 2018 SEC Pursues Compliance Officers at Broker-Dealer for Aiding and Abetting AML Violations
Client Memorandum
April 26, 2018 With $35 Million Fine, SEC Shows Late Cyberbreach Disclosure Can Result in Enforcement
Client Memorandum
March 15, 2018 SEC Announces Self-Reporting Initiative for Rule 12b-1 Fee Disclosures
Client Memorandum
February 27, 2018 Supreme Court Rules that Dodd-Frank Whistleblower Protections Do Not Extend to Internal Reporting
Client Memorandum
December 5, 2017 White Collar Update: Solicitor General Sides with Opponents, Agrees SEC ALJs are Unconstitutionally Appointed
Client Memorandum
December 1, 2017 White Collar Update: Deputy Attorney General Rod Rosenstein Announces New FCPA Corporate Enforcement Policy Establishing a Category of Presumptive Declinations
Client Memorandum
October 30, 2017 SEC Division of Enforcement Co-Directors Stephanie Avakian and Steven Peikin Provide Remarks on Enforcement Division’s Initiatives and Priorities
Client Memorandum
October 12, 2017 White Collar Update: Deputy Attorney General Rod Rosenstein Delivers Address on Corporate Enforcement Policy
Client Memorandum
September 5, 2017 U.S. Court of Appeals (Second Circuit) Upholds Convictions, Eliminates Newman’s “Meaningfully Close Personal Relationship” Requirement
Client Memorandum
June 28, 2017 Securities Litigation Update: After Full D.C. Circuit Deadlocks, Circuit Court Split over the Constitutionality of SEC Administrative Law Judges Likely Bound for Supreme Court
Client Memorandum
June 6, 2017 Securities Enforcement Update: Supreme Court Rules that Five-Year Statute of Limitations Applies to SEC Disgorgement Actions
Client Memorandum
May 8, 2017 Financial CHOICE Act 2.0 Passes House Financial Services Committee
Client Memorandum
April 26, 2017 Securities Enforcement Update: Supreme Court Hints at Statute of Limitations for Disgorgement Actions, Justices Question SEC’s Authority to Seek Disgorgement Altogether
Client Memorandum
March 30, 2017 PCAOB Cross-Border Enforcement
Client Memorandum
March 8, 2017 Ninth Circuit Dodd-Frank Whistleblower Opinion
Client Newsflash
March 6, 2017 White Collar Update: New DOJ Guide to Evaluation of Corporate Compliance Programs
Client Memorandum
January 25, 2017 White Collar Update: Rolls-Royce Reaches Global $800 Million Resolution in Bribery Scheme
Client Memorandum
January 19, 2017 Securities Enforcement Update: Supreme Court to Decide Statute of Limitations for SEC Disgorgement Actions
Client Memorandum
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 12, 2016 PCAOB Enforcement Milestone
Client Memorandum
December 8, 2016 White Collar Update: Supreme Court Rejects Second Circuit’s Narrow Interpretation of Insider-Trading Law
Client Memorandum

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