Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights January 21, 2020 Client Update House Passes 8-K Trading Gap Act Last week, the House overwhelmingly passed legislation aimed at closing what lawmakers have called a “loophole” for in... January 13, 2020 Client Update Financial Institutions Enforcement Update To assist legal and compliance officers of financial institutions, this memorandum summarizes key recent developments in c... January 7, 2020 Client Update Second Circuit Lowers the Bar for Charging Criminal Insider Trading On December 30, 2019, the United States Court of Appeals for the Second Circuit affirmed the convictions of four individua... December 13, 2019 Client Update FinCEN Director Highlights Value of BSA Reporting; Focuses on Persistent Beneficial Ownership Information Gap FinCEN Director Kenneth A. Blanco recently stressed the value of BSA data, especially in the virtual currency space, and h... December 9, 2019 Client Update DOJ Clarifies Position on Agency Liability under the FCPA post-Hoskins; New FCPA Chief Named Assistant Attorney General Brian Benczkowski, the head of DOJ’s Criminal Division, recently gave a speech in which he cl... December 3, 2019 Client Update DOJ Clarifies Corporate Enforcement Policy The Department of Justice (“DOJ”) modified its Corporate Enforcement Policy to clarify what level of disclosure is exp... November 18, 2019 Client Update Leaning into Fairness: Executive Order On Enforcement In October, President Trump signed two significant executive orders regarding fairness and transparency in federal agency ... November 14, 2019 Client Update SEC Describes Active Enforcement Program and Focus on Corporate Conduct in 2019 Annual Report The SEC’s Enforcement Division (the “Division”) released its annual report on November 6. The Division filed 7% more... November 12, 2019 Articles & Books SEC marketing rule changes increase flexibility for advisers Davis Polk partners Gregory Rowland and Nora Jordan and counsel Sarah Kim and Aaron Gilbride authored a Law360 article dis... November 4, 2019 Client Update Supreme Court to Review SEC’s Authority to Seek Disgorgement On Friday, November 1, 2019, the Supreme Court granted certiorari in Liu v. Securities and Exchange Commission, a case th... Load More
January 21, 2020 Client Update House Passes 8-K Trading Gap Act Last week, the House overwhelmingly passed legislation aimed at closing what lawmakers have called a “loophole” for in...
January 13, 2020 Client Update Financial Institutions Enforcement Update To assist legal and compliance officers of financial institutions, this memorandum summarizes key recent developments in c...
January 7, 2020 Client Update Second Circuit Lowers the Bar for Charging Criminal Insider Trading On December 30, 2019, the United States Court of Appeals for the Second Circuit affirmed the convictions of four individua...
December 13, 2019 Client Update FinCEN Director Highlights Value of BSA Reporting; Focuses on Persistent Beneficial Ownership Information Gap FinCEN Director Kenneth A. Blanco recently stressed the value of BSA data, especially in the virtual currency space, and h...
December 9, 2019 Client Update DOJ Clarifies Position on Agency Liability under the FCPA post-Hoskins; New FCPA Chief Named Assistant Attorney General Brian Benczkowski, the head of DOJ’s Criminal Division, recently gave a speech in which he cl...
December 3, 2019 Client Update DOJ Clarifies Corporate Enforcement Policy The Department of Justice (“DOJ”) modified its Corporate Enforcement Policy to clarify what level of disclosure is exp...
November 18, 2019 Client Update Leaning into Fairness: Executive Order On Enforcement In October, President Trump signed two significant executive orders regarding fairness and transparency in federal agency ...
November 14, 2019 Client Update SEC Describes Active Enforcement Program and Focus on Corporate Conduct in 2019 Annual Report The SEC’s Enforcement Division (the “Division”) released its annual report on November 6. The Division filed 7% more...
November 12, 2019 Articles & Books SEC marketing rule changes increase flexibility for advisers Davis Polk partners Gregory Rowland and Nora Jordan and counsel Sarah Kim and Aaron Gilbride authored a Law360 article dis...
November 4, 2019 Client Update Supreme Court to Review SEC’s Authority to Seek Disgorgement On Friday, November 1, 2019, the Supreme Court granted certiorari in Liu v. Securities and Exchange Commission, a case th...