Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights August 8, 2018 Articles & Books Getting the Deal Through: Financial Services Compliance Davis Polk partner Annette Nazareth served as Contributing Editor of the inaugural edition of Getting the Deal Through ?... July 19, 2018 Articles & Books Adviser Exams: Mitigating Enforcement Risks In an evolving securities landscape, examinations of investment advisers remain a key priority for the SEC’s Office of C... July 10, 2018 Client Update What Chinese Banks and Companies Should Know About DOJ Overseas Subpoenas and Asset Seizures Recent actions by the United States Department of Justice (“DOJ”) against Chinese companies in the technology sector m... July 6, 2018 Client Update SEC’s Proposed Amendments to Its Whistleblower Program May Increase Reporting of Potential Securities-Law Violations to the SEC On June 28, 2018, the Securities and Exchange Commission (“SEC”) voted to propose amendments to the rules governing it... July 5, 2018 Client Update In Amended Decision, U.S. Court of Appeals (Second Circuit) Leaves Open the Ability to Prosecute Insider Trading Absent Evidence of a “Meaningfully Close Personal Relationship” On June 25, 2018, a divided panel of the U.S. Court of Appeals for the Second Circuit issued an amended decision in United... July 5, 2018 Client Update SEC Issues Sanctions for Inadequate Perk Disclosure On July 2, 2018, the SEC issued an order criticizing an issuer’s disclosure of executive perquisites and requiring the i... July 2, 2018 Client Update New York’s Highest Court Holds That Three-Year Statute of Limitations Applies to Martin Act Claims On June 12, 2018, the New York Court of Appeals overruled longstanding Appellate Division precedent and held that fraud cl... June 25, 2018 Client Update Supreme Court Holds that SEC Administrative Law Judges Have Been Unconstitutionally Appointed in Decision that is Likely to Have Far-Reaching Impact The Supreme Court’s opinion in Lucia v. SEC, holding that SEC ALJs qualify as Officers of the United States under the Co... May 11, 2018 Client Update Deputy Attorney General Rosenstein Announces New Policy to Avoid “Piling On” in Corporate Enforcement Actions On May 9, 2018, in remarks to the New York City Bar Association’s Seventh Annual White Collar Crime Institute, Deputy At... April 27, 2018 Client Update SEC Pursues Compliance Officers at Broker-Dealer for Aiding and Abetting AML Violations On March 28, 2018, the Securities and Exchange Commission (“SEC”) announced settlements with Aegis, Inc. (“Aegis”)... Load More
August 8, 2018 Articles & Books Getting the Deal Through: Financial Services Compliance Davis Polk partner Annette Nazareth served as Contributing Editor of the inaugural edition of Getting the Deal Through ?...
July 19, 2018 Articles & Books Adviser Exams: Mitigating Enforcement Risks In an evolving securities landscape, examinations of investment advisers remain a key priority for the SEC’s Office of C...
July 10, 2018 Client Update What Chinese Banks and Companies Should Know About DOJ Overseas Subpoenas and Asset Seizures Recent actions by the United States Department of Justice (“DOJ”) against Chinese companies in the technology sector m...
July 6, 2018 Client Update SEC’s Proposed Amendments to Its Whistleblower Program May Increase Reporting of Potential Securities-Law Violations to the SEC On June 28, 2018, the Securities and Exchange Commission (“SEC”) voted to propose amendments to the rules governing it...
July 5, 2018 Client Update In Amended Decision, U.S. Court of Appeals (Second Circuit) Leaves Open the Ability to Prosecute Insider Trading Absent Evidence of a “Meaningfully Close Personal Relationship” On June 25, 2018, a divided panel of the U.S. Court of Appeals for the Second Circuit issued an amended decision in United...
July 5, 2018 Client Update SEC Issues Sanctions for Inadequate Perk Disclosure On July 2, 2018, the SEC issued an order criticizing an issuer’s disclosure of executive perquisites and requiring the i...
July 2, 2018 Client Update New York’s Highest Court Holds That Three-Year Statute of Limitations Applies to Martin Act Claims On June 12, 2018, the New York Court of Appeals overruled longstanding Appellate Division precedent and held that fraud cl...
June 25, 2018 Client Update Supreme Court Holds that SEC Administrative Law Judges Have Been Unconstitutionally Appointed in Decision that is Likely to Have Far-Reaching Impact The Supreme Court’s opinion in Lucia v. SEC, holding that SEC ALJs qualify as Officers of the United States under the Co...
May 11, 2018 Client Update Deputy Attorney General Rosenstein Announces New Policy to Avoid “Piling On” in Corporate Enforcement Actions On May 9, 2018, in remarks to the New York City Bar Association’s Seventh Annual White Collar Crime Institute, Deputy At...
April 27, 2018 Client Update SEC Pursues Compliance Officers at Broker-Dealer for Aiding and Abetting AML Violations On March 28, 2018, the Securities and Exchange Commission (“SEC”) announced settlements with Aegis, Inc. (“Aegis”)...