In two recent cases, the SEC affirmatively decided not to bring clawback actions under Section 304 of the Sarbanes-Oxley Act (“SOX”) against executives who reimbursed their respective...
2015 proved to be a year of continued focus on anti-corruption enforcement. We have distilled key aspects of the year’s enforcement trends and resolutions to offer you succinct summarie...
To be guilty of insider trading, a tipper of inside information must receive a “personal benefit” in exchange for his tips. On January 19, 2016, the Supreme Court granted certiorari i...
On November 16, 2015, Deputy Attorney General Sally Quillian Yates gave a speech regarding the implementation of the Department of Justice’s recent policy initiatives to facilitate the ...
On Friday, November 13, NYU Law’s Program on Corporate Compliance and Enforcement hosted a roundtable discussion featuring the Department of Justice’s Criminal Division Fraud Chief An...
Constitutional attacks against the Securities Exchange Commission’s (the “SEC”) use of administrative proceedings have grown in strength as securities respondents across the country...
Articles & Books
The Antitrust Review of the Americas 2016, Global Competition Review
The United States Department of Justice’s Antitrust Division had yet another banner year in 2014. The Division’s relentless prosecution of cartels at home and abroad has resulted in s...
Yesterday, Deputy Attorney General Sally Quillian Yates gave a speech concerning the Department of Justice’s guidance memorandum issued on September 9, 2015 that further underscores DOJ...
The United States Department of Justice has petitioned the United States Supreme Court to review a recent Second Circuit opinion that clarified what the Government must prove to establish...
The SEC, which has recently been investigating workplace agreements out of concern that they may impede whistleblowing activity protected by the Dodd-Frank Act, announced yesterday its fi...
