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
April 1, 2021 U.S. financial regulators focus on artificial intelligence and machine learning
Client Memorandum
March 8, 2021 Reg FD and the riskiest of phone calls
Client Memorandum
March 5, 2021 SEC establishes Enforcement Division Climate and ESG Task Force
Client Memorandum
March 2, 2021 Data breach enforcement on both sides of the Atlantic: Revealing mechanics of fines and civil penalties and reinforcing importance of training
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 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 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 5, 2020 SEC Maintains Its Focus on Perk Disclosures
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 25, 2020 Expansive New California Privacy Measure Cleared for November Ballot
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
March 25, 2020 How the SEC Enforcement Division Responds to a Crisis
Client Memorandum
March 2, 2020 Federal Judge Acquits Ex-Alstom Executive on FCPA Charges Post Jury Verdict
Client Memorandum
February 21, 2020 Highlights & Takeaways: California Attorney General Releases Modified CCPA Regulations
Client Memorandum
January 30, 2020 SEC Office of Compliance Inspections and Examinations (OCIE) Issues Observations on Cybersecurity and Resiliency Practices
Client Memorandum
January 21, 2020 House Passes 8-K Trading Gap Act
Client Memorandum
January 13, 2020 Financial Institutions Enforcement Update
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 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
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