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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...
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 July 2, 2018, the SEC issued an order criticizing an issuer’s disclosure of executive perquisites and requiring the issuer to take measures to ensure that its future disclosures comp...
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...
On May 9, 2018, in remarks to the New York City Bar Association’s Seventh Annual White Collar Crime Institute, Deputy Attorney General Rod Rosenstein announced a new Department of Justi...
On March 28, 2018, the Securities and Exchange Commission (“SEC”) announced settlements with Aegis, Inc. (“Aegis”), a registered broker-dealer, and two of its officers for alleged...
Yahoo! Order Is SEC’s First Cyber-Disclosure Enforcement Action
On April 24, the Securities and Exchange Commission charged Altaba Inc., formerly Yahoo! Inc., with misleading sharehold...