Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights November 20, 2023 Client Update SEC & CFTC Enforcement Update In this edition of the newsletter, we discuss enforcement developments at the agencies in October 2023. Last month, the SE... November 16, 2023 Client Update Is everything an accounting control violation now? After receiving board approval to buy back stock under a 10b5-1 plan, a company interpreted Rule 10b5-1 in a manner with w... October 30, 2023 Articles & Books Latin America compliance requirements Davis Polk partner Dan Kahn and associate Brooke Theodora recently contributed to Global Investigation Review’s second e... October 20, 2023 Client Update CFTC announces new enforcement guidance On October 17, 2023, CFTC Director of Enforcement Ian McGinley signaled a more aggressive approach by the agency in new en... October 6, 2023 Client Update DOJ announces new guidance for disclosure of misconduct in the M&A context On Wednesday, Deputy Attorney General Monaco announced new DOJ guidance providing a safe harbor to avoid criminal prosecut... September 27, 2023 Client Update SEC files two more actions alleging employee severance agreements violated whistleblower protections The SEC has announced settlement of enforcement actions against two companies stemming from each company’s use of separa... August 8, 2023 Webinar 2023 FCPA midyear review and outlook: Anti-corruption developments and trends Please join us as we review key developments from the first half of the year and the outlook for the second half in anti-c... August 1, 2023 Webinar Recent developments: U.S. sanctions and AML regulation and enforcement Please join us for a discussion on some of this year’s key enforcement trends and policy and regulatory developments in ... July 31, 2023 Client Update SEC adopts cybersecurity disclosure mandates for public companies The final rules require current reporting of cybersecurity incidents and annual risk management disclosure for public comp... July 25, 2023 Articles & Books Best practices for conducting compliance risk assessments Davis Polk partners Dan Kahn and Tatiana Martins and counsel Jordan Leigh Smith authored “Best practices for conducting ... Load More
November 20, 2023 Client Update SEC & CFTC Enforcement Update In this edition of the newsletter, we discuss enforcement developments at the agencies in October 2023. Last month, the SE...
November 16, 2023 Client Update Is everything an accounting control violation now? After receiving board approval to buy back stock under a 10b5-1 plan, a company interpreted Rule 10b5-1 in a manner with w...
October 30, 2023 Articles & Books Latin America compliance requirements Davis Polk partner Dan Kahn and associate Brooke Theodora recently contributed to Global Investigation Review’s second e...
October 20, 2023 Client Update CFTC announces new enforcement guidance On October 17, 2023, CFTC Director of Enforcement Ian McGinley signaled a more aggressive approach by the agency in new en...
October 6, 2023 Client Update DOJ announces new guidance for disclosure of misconduct in the M&A context On Wednesday, Deputy Attorney General Monaco announced new DOJ guidance providing a safe harbor to avoid criminal prosecut...
September 27, 2023 Client Update SEC files two more actions alleging employee severance agreements violated whistleblower protections The SEC has announced settlement of enforcement actions against two companies stemming from each company’s use of separa...
August 8, 2023 Webinar 2023 FCPA midyear review and outlook: Anti-corruption developments and trends Please join us as we review key developments from the first half of the year and the outlook for the second half in anti-c...
August 1, 2023 Webinar Recent developments: U.S. sanctions and AML regulation and enforcement Please join us for a discussion on some of this year’s key enforcement trends and policy and regulatory developments in ...
July 31, 2023 Client Update SEC adopts cybersecurity disclosure mandates for public companies The final rules require current reporting of cybersecurity incidents and annual risk management disclosure for public comp...
July 25, 2023 Articles & Books Best practices for conducting compliance risk assessments Davis Polk partners Dan Kahn and Tatiana Martins and counsel Jordan Leigh Smith authored “Best practices for conducting ...