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The CFTC’s New Policy on Self-Reporting and Cooperation

On September 25, 2017, the U.S. Commodity Futures Trading Commission (“CFTC”) released an Updated Advisory on Self-Reporting and Full Cooperation (the “Updated Advisory”) to supplement the cooperation advisories that it...more

U.S. CFTC Enforcement Considerations for 2017

Change is in the air and the political landscape may significantly affect the U.S. Commodity Futures Trading Commission’s enforcement agenda. Last month, Commissioner J. Christopher Giancarlo rose to the position of Acting...more

U.S. CFTC Enforcement: Key Compliance Takeaways From 2016

In 2016, the U.S. Commodity Futures Trading Commission brought several significant enforcement actions involving computerized robo-advisors, recordkeeping and reporting requirements, insider trading, spoofing, market...more

U.S. Supreme Court Tips the Scales in Favor of Prosecutors in Insider Trading Cases

On December 6, 2016, the U.S. Supreme Court issued its long-awaited ruling in Salman v. United States. In a unanimous opinion, the Supreme Court adhered to its 1983 decision in Dirks v. SEC, 463 U.S. 646, and held that a...more

China Auditor Update: SEC and Chinese Audit Firms "Settle" for the Status Quo

In an Order of Settlement released February 6, 2015, the SEC agreed to stay the administrative action against the Chinese affiliates of the “Big Four” accounting firms for refusing to turn over their audit work papers...more

U.S. District Court Vacates SEC’s Rule Requiring Public Disclosure of Energy Companies’ Payments to U.S. and Foreign Governments

On July 2, 2013, the U.S. District Court for the District of Columbia vacated a rule promulgated by the Securities and Exchange Commission ("SEC") that would have required energy companies to publicly disclose payments to...more

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