The SEC announced its 2025 enforcement results while outlining shifts in its enforcement priorities to focus on fraud, market manipulation and individual accountability.
In his first public remarks since becoming CFTC Director of Enforcement, David Miller outlined his enforcement priorities, which are focused on serious cases implicating fraud, market man...
On March 10, 2026, the Department of Justice announced its first ever Department-wide corporate enforcement policy for all criminal cases. Under the new policy, companies that self-repor...
On February 24, 2026, the U.S. Attorney’s Office for the Southern District of New York announced a new policy to incentivize companies to self-report financial crimes. Companies could b...
Director Margaret Ryan recently gave a speech describing her “guiding principles” and enforcement priorities. She balanced the need for toughness with a focus on fraud that harms inve...
Between October and December 2025, the SEC filed 29 actions against a combined total of 54 defendants and respondents, and the CFTC filed one case against three defendants. (These figures...
On December 4, Deputy Attorney General Todd Blanche and other DOJ officials participated in the annual ACI FCPA conference in Washington DC, outlining key principles to corporate enforcem...
On December 1, 2025, the U.S. Commodity Futures Trading Commission (CFTC) announced amendments to its Rules Relating to Investigations and Rules of Practice. The amendments are aimed at ...
The CFTC issued an advisory on when it would refer cases to DOJ for criminal investigation and prosecution. The guidance is relatively brief and straightforward, and implements the Presid...
