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Earlier this month, SEC Chairman Jay Clayton issued a statement announcing a change in the SEC’s waiver application process that will streamline the SEC settlement process. The Commissi...
House Financial Services Committee Chair Maxine Waters (D-CA) has released a discussion draft of legislation to amend the SEC’s approach to considering and granting waivers to automatic...
On April 30, 2019, Assistant Attorney General Brian Benczkowski of the Criminal Division of the Department of Justice (“DOJ”) announced an updated version of the Criminal Division’s...
On March 6, 2019, CFTC Director of Enforcement James McDonald said the agency is pursuing foreign corrupt practices that constitute violations of the Commodities Exchange Act, with some i...
On August 24, 2018, the Second Circuit held in
United States v. Hoskins
that a nonresident foreign national cannot be found liable for violating the anti-bribery provisions of the Fore...
#MeToo may no longer dominate daily headlines but its indelible impression remains. Corporate boards’ mandate to act in their shareholders’ best interest includes not only overseeing ...
On June 28, 2018, the Securities and Exchange Commission (“SEC”) voted to propose amendments to the rules governing its whistleblower program. These changes include expanding the typ...
On June 25, 2018, a divided panel of the U.S. Court of Appeals for the Second Circuit issued an amended decision in United States v. Martoma. In its initial decision, the Second Circuit e...
On June 12, 2018, the New York Court of Appeals overruled longstanding Appellate Division precedent and held that fraud claims brought by the New York Attorney General (“NYAG”) under ...
The Supreme Court’s opinion in Lucia v. SEC, holding that SEC ALJs qualify as Officers of the United States under the Constitution and are therefore subject to the Appointments Clause o...