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 8, 2021 A call for greater clarity around SEC cooperation credit

Law360

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
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 The Anti-Money Laundering Act of 2020 – Key takeaways
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
August 28, 2020 4 ways to prepare for SEC or CFTC penalty negotiations

Law360

July 20, 2020 China’s Draft Data Security Law Published for Public Consultation
Client Memorandum
July 9, 2020 DOJ and SEC Publish Updated FCPA Resource Guide
Client Memorandum
June 24, 2020 The SEC and FINRA’s use of big data in investigations and the implications for defense counsel

The Review of Securities & Commodities Regulation

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
June 8, 2020 Getting the Deal Through: Financial Services Compliance 2020
Law Business Research Ltd., April 2020
May 27, 2020 Proposed Regulations on Deductibility of Governmental Settlements
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 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
January 21, 2020 House Passes 8-K Trading Gap Act
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
September 10, 2019 District Court Opens the Door to Potential Restitution Claims in FCPA Cases
Client Memorandum
August 27, 2019 Commerce Department Extends Huawei General License, Adds More Huawei Affiliates to Entity List
Client Memorandum
August 13, 2019 SFO Announces New Corporate Cooperation Guidance
Client Memorandum
August 7, 2019 United States Imposes Blocking Sanctions on the Government of Venezuela
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
June 27, 2019 Kisor v. Wilkie: Auer Deference Lives On, But In What Form?
Client Memorandum
June 26, 2019 Rep. Waters Proposes Changes to SEC "Bad Actor" Waiver Process
Client Memorandum
May 7, 2019 Getting the Deal Through: Financial Services Compliance 2019

Law Business Research Ltd., April 2019

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

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