Latest Publications

Share:

SEC and CFTC Continue Crackdown on Financial Firms Over Off-Channel Communications

The SEC and CFTC settlements with HSBC and Scotia Capital come after years of federal regulators’ and prosecutors’ steadily increasing scrutiny of off-channel communications. Anchoring these settlements are long-standing...more

DOJ Corporate Criminal Enforcement Updates Shine a Spotlight on Texts and Instant Messaging Applications as Potential Evidence

In September 2022, the U.S. Department of Justice (DOJ) issued a memo announcing revisions to the DOJ’s corporate criminal enforcement policies and practices....more

Businesses Must Contemplate Employees' Use of Messaging Apps on Personal Devices

An investment management company was recently hit with $200 million in fines for failing to track employees’ use of personal messaging apps, which resulted in the loss of communications that were subject to regulatory...more

What Judges Are Really Saying About Technology Assisted Review

Since the first judicial opinion endorsing the use of Technology Assisted Review (or TAR) was written by Judge Andrew J. Peck in 2012, an entire legal industry has grown up on the premise of streamlining the document review...more

SEC Suffers Loss in Tilton Matter: Is the Commission Losing its Home Court Advantage?

Since the passage of the Dodd-Frank Act in 2010, the securities defense bar has voiced concern that the Securities and Exchange Commission (SEC) receives an unconstitutional and inherently unfair “home court advantage” when...more

Advocacy in E-Discovery More Important Than Ever

In this day and age, advocacy starts with competence in ESI issues. An effective advocate must be able to assess e-discovery needs and issues, implement appropriate preservation procedures, advise clients on options for...more

Tenth Circuit Creates Circuit Split on the Constitutionality of SEC Administrative Law Judges

On December 27, 2016, a divided panel of the Tenth Circuit Court of Appeals found the SEC’s use of administrative law judges (“ALJs”) unconstitutional, setting aside an ALJ’s administrative order finding David F. Bandimere...more

8 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide