Erich Schwartz

Erich Schwartz

Skadden, Arps, Slate, Meagher & Flom LLP

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Latest Posts › SEC


"Aggressive SEC Enforcement Approach Creates New Challenges for Resolving Investigations"

The U.S. Securities and Exchange Commission (SEC) pursued aggressive enforcement of the securities laws in the past year. Several trends related to the SEC's vigorous approach are likely to continue in 2015....more

2/11/2015 - Administrative Hearings Dodd-Frank Personal Liability Popular SEC Strategic Enforcement Plan Whistleblowers

"SEC Focus Results in Investment Adviser Fee and Expense Changes"

Recent efforts by the Securities and Exchange Commission (SEC) to bring concentrated regulatory attention to investment managers sharpened over the past year to include a particular focus on the private equity and hedge fund...more

2/4/2015 - Fees Hedge Funds Investment Adviser Investment Management OCIE Private Equity SEC

"Eleventh Circuit Addresses Scope of FCPA Coverage of Activity Involving State-Controlled Business Enterprises"

On May 16, 2014, a three-judge panel of the U.S. Court of Appeals for the Eleventh Circuit provided the first appellate court interpretation of the reach of the U.S. Foreign Corrupt Practices Act (FCPA) to conduct involving...more

5/21/2014 - Appeals Controlled Foreign Corporations DOJ FCPA Foreign Official Instrumentality SEC Telecommunications Terra Telecommunications

"SEC Judge Issues Initial Decision Regarding Chinese Affiliates of the Big Four Accounting Firms"

On January 22, 2014, U.S. Securities and Exchange Commission Administrative Law Judge Cameron Elliot (the ALJ) issued an initial decision censuring the Chinese accounting firms affiliated with Ernst & Young LLP, KPMG LLP...more

1/24/2014 - Auditors Audits China CSRC Deloitte Ernst & Young Financial Statements KPMG Multinationals PricewaterhouseCoopers Sarbanes-Oxley SEC Securities Fraud

"The SEC’s Renewed Scrutiny on Accounting Cases: Expected Focus Areas and How Companies Can Prepare"

The U.S. Securities and Exchange Commission (SEC or Commission) has announced plans to reinvigorate its enforcement efforts with respect to accounting issues. These plans include adding dedicated personnel and using data...more

9/23/2013 - Accounting Audits Data Mining Enforcement Actions Financial Reporting SEC Whistleblowers

"SEC Announces First Non-Prosecution Agreement in an FCPA Matter"

On April 22, the U.S. Securities and Exchange Commission (SEC) announced its first non-prosecution agreement (NPA) with a company in a matter involving alleged violations of the U.S. Foreign Corrupt Practices Act (FCPA). The...more

4/29/2013 - Compliance Customs FCPA Illegal Imports Non-Prosecution Agreements Ralph Lauren SEC Self-Reporting

"SEC Enforcement in the Second Term of the Obama Administration"

As the second term of the Obama administration begins, the SEC is experiencing a profound leadership transition, with the departures of agency Chair Mary Schapiro; Director of Enforcement Robert Khuzami; its general counsel;...more

1/23/2013 - Asset Management Barack Obama China Cooperation Initiative DOJ Enforcement FCPA High Frequency Trading Insider Trading SEC Whistleblowers

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