Catherine Kevane

Catherine Kevane

Fenwick & West LLP

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Securities Litigation and Enforcement Newsletter

SEC Enforcement Trends for 2016 - Welcome to the latest edition of Fenwick and West’s Securities Litigation and Enforcement Newsletter. In this newsletter, we look at SEC enforcement trends for 2016, starting with a...more

4/1/2016 - Accounting Fraud Auditors Confidentiality Agreements Cooperation Dodd-Frank FCPA Financial Reporting Internal Controls Mary Jo White MCDC Personal Liability SEC Security-Based Swaps Strategic Enforcement Plan Voluntary Disclosure

And the Winner Is… The SEC Touts Record Number of Cases for Its FY2015, and Highlights Innovative Firsts

The SEC’s enforcement numbers are in for its fiscal year ended September 2015, and to no one’s surprise, the agency filed a record number of enforcement cases. As announced on October 22, 2015, the SEC filed 807 enforcement...more

12/2/2015 - Bank of New York (BNY) Mellon Corporate Misconduct Enforcement Actions FCPA First Impression SEC

Game of Phones: Employer-Issued Smartphones and Employee Fifth Amendment Protections

A recent court decision holding that employees can claim the Fifth Amendment and refuse to unlock password-protected smartphones, even though the phones were issued by their employer for company business, demonstrates the...more

12/1/2015 - Business Records Cell Phones Employee Privacy Rights Enforcement Actions Fifth Amendment Insider Trading Passwords Popular SEC

Return of the Cyborg Part II: First-Ever SEC Cybersecurity Enforcement Action Filed Against Investment Advisory Firm

As our last newsletter highlighted, the government is ramping up enforcement investigations against both regulated entities and public companies for perceived cybersecurity failures. Proving the point, on September 22, 2015,...more

11/30/2015 - Cybersecurity Enforcement Actions Investment Adviser Regulation S-P SEC

Do Not Pass Go. Do Not Collect $200?: D&O Insurance—Advance Warning on Fee Advancement

In a recent string of decisions, the Delaware Chancery Court has addressed the scope of the right of Directors and Officers to have their legal expenses paid while governmental investigations or legal proceedings against them...more

11/25/2015 - Advancement Breach of Duty Corporate Officers D&O Insurance Directors

Baby You Can Drive My Car… Or Corporate Jet: SEC Scrutiny of Executive Compensation Perks Disclosures

The SEC continues to focus on accounting and disclosure violations, including in the area of executive perks disclosure in corporate proxy statements. In the past year, the SEC brought two enforcement cases against executives...more

11/24/2015 - Corporate Fraud Disclosure Requirements Enforcement Actions Executive Compensation Proxy Statements SEC

Not a Coin Toss: Regulatory Agencies Bringing Enforcement Actions Against Virtual Currency Start-ups

The Commodity Futures Trading Commission (“CFTC”) and the SEC are flexing their regulatory muscles to rein in securities and commodities rules violations by start-up companies in the virtual currency space. On September 17,...more

11/23/2015 - Bitcoin CFTC Commodities Exchange Act Enforcement Actions Popular SEC Swaps Virtual Currency

Securities Litigation and Enforcement Newsletter

In this our second edition of Fenwick’s Securities Litigation and Enforcement Newsletter, we continue to provide you with short insights about timely securities litigation and enforcement developments. This edition’s topics...more

11/20/2015 - Cell Phones Cybersecurity D&O Insurance Disclosure-Based Settlements Enforcement Actions Executive Compensation Fifth Amendment SEC Virtual Currency

You’re the Man—Government Targets Individuals in FCPA Cases

The government has increasingly focused its FCPA enforcement firepower on individuals. On August 31, a Russian official living in Maryland pled guilty to conspiracy to commit money laundering in connection with arranging $2...more

9/24/2015 - Bank of New York (BNY) Mellon Compliance Corporate Misconduct Criminal Conspiracy Defense Contracts DOJ FCPA Foreign Official Goodyear Guilty Pleas Internships Money Laundering Personal Liability SEC

Matchmaker, Matchmaker Make me a… 506(b) Private Placement Investment

The SEC has given the go-ahead to a venture capital firm’s plan to conduct 506(b) private placements online. On August 5, 2015, the Commission issued a no-action letter to Citizen VC, Inc., saying the firm’s proposed online...more

9/23/2015 - Broker-Dealer Compliance Financial Institutions Financial Markets Investment Investment Portfolios Investors No-Action Letters Online Platforms Private Placements Regulation D Rule 506(c) SEC Securities Exchanges Venture Capital

“You Know How to Whistle Don’t You?”—Whistleblowers Gain Even More Protection

The SEC recently issued guidance specifying that whistleblowers do not first have to take their concerns to the SEC in order to be covered by the SEC’s anti-retaliation rule. The guidance clarifies that those whistleblowers...more

9/22/2015 - Anti-Retaliation Provisions Barnes and Noble Confidentiality Agreements Enforcement Actions Internal Investigations Internal Reporting KBR (formerly Kellogg Brown & Root) Retaliation SEC Securities Fraud Whistleblowers White Collar Crimes

Return of the Cyborg—FTC and SEC Oversight of Cybersecurity Ramps Up

The government appears to be increasing its enforcement efforts regarding cybersecurity risks. A three-judge panel of the U.S Court of Appeals for the Third Circuit recently held the FTC may bring a claim that a company’s...more

9/21/2015 - Cyber Attacks Cyber Crimes Cybersecurity Data Breach Data Security Disclosure Requirements Enforcement Actions Federal Trade Commission Act FTC Hackers Publicly-Traded Companies SEC Section 5 Target Unfair or Deceptive Trade Practices

SEC Announces $30 Million Whistleblower Award to Non-U.S. Resident

On Monday, September 22, 2014, the SEC announced that it expected to award between $30 and $35 million to a non-U.S. whistleblower who provided the SEC with information about “an ongoing fraud that would have been very...more

9/29/2014 - Chief Compliance Officers Dodd-Frank FCPA Foreign Nationals Fraud Risk Assessment Risk Management SEC Whistleblower Awards

Securities Litigation Alert: GlaxoSmithKline and Five Executives Convicted of Bribery in China

On Friday, September 19, 2014, a Chinese court found pharmaceutical giant GlaxoSmithKline guilty of bribing doctors and hospitals in order to increase sales of the company’s products in China. Among other things, the company...more

9/26/2014 - Bribery China Foreign Nationals Foreign Official GlaxoSmithKline Hospitals Physicians White Collar Crimes

Securities Litigation Alert: DOJ and SEC Issue Joint Guidance on FCPA

The past several years have seen a dramatic increase in the number of enforcement actions brought by the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) under the Foreign Corrupt Practices Act...more

11/16/2012 - Compliance DOJ FCPA FCPA Resource Guide SEC

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