On Monday, June 22, 2020, the Supreme Court decided Liu v. Securities and Exchange Commission, the latest decision in a long-running challenge to the SEC’s authority to obtain disgorgem...
A $900,000 fine is a reminder for companies to use care in tracking and disclosing all elements of executive compensation.
Executive perks may not be material to a company’s financial c...
As the COVID-19 crisis places extraordinary pressure on the supply chain for various essential goods, federal and state authorities have turned their focus to suspected instances of price...
The SEC has expressed its intent to respond proactively to the impact of the coronavirus on capital markets and investors. Risks to investors can become heightened during a market downtur...
On February 26, a long-running legal battle over the scope of the Foreign Corrupt Practices Act (“FCPA”) took another turn when a federal trial court judge ordered that former Alstom ...
On February 7, 2020, the Office of the Attorney General of California (CAL AG) released a modified version of its proposed regulations, which it further modified on February 10, 2020, und...
The SEC Office of Compliance Inspections and Examinations (OCIE) recently published observations related to cybersecurity and operational resiliency practices observed in its examinations...
Last week, the House overwhelmingly passed legislation aimed at closing what lawmakers have called a “loophole” for insider trading—corporate insiders trading between the occurrence...
To assist legal and compliance officers of financial institutions, this memorandum summarizes key recent developments in criminal prosecutions and regulatory enforcement actions involving...
FinCEN Director Kenneth A. Blanco recently stressed the value of BSA data, especially in the virtual currency space, and highlighted the continuing “national security gap” in collecti...
