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US Congress Affirms and Expands SEC’s Disgorgement Authority in Annual Defense Spending Bill

The legislation - passed via the first congressional override of the Trump presidency - extends the SEC’s ability to obtain disgorgement for violations of federal securities laws. Key Points: ..As amended, the...more

US Supreme Court Upholds SEC’s Authority to Seek Disgorgement

Questions about the scope of the SEC’s disgorgement authority remain open, including in administrative proceedings. Key Points: ..Since the April 2017 decision in Kokesh v. SEC, the statutory authority of the Securities...more

English High Court Decision Reinforces Application of Litigation Privilege in Internal Investigations

The decision indicates that company counsel should consider early how best to anticipate challenges to privilege claims over investigation materials. Introduction - A recent English High Court decision has important...more

Venezuela Restructuring: A Long Road Ahead?

Venezuela’s initiative is unlikely to set the stage for a restructuring of international obligations in the face of US sanctions. Key Points: - US sanctions will prohibit US persons from engaging in a restructuring of...more

English High Court Decision Further Curtails Application of Legal Privilege in Internal Investigations

Corporations should take steps to ensure their internal investigations are not used against them in English litigation. A recent decision in an English court could have important consequences for internal corporate...more

UK Decision Highlights Potential Privilege Problems in Cross-Border Investigations

7 steps companies can take to maximize privilege protections under US and English law. Key Points: ..In a recent case, an English court stated that privilege did not apply to notes of employee interviews,...more

CFTC Releases New Enforcement Cooperation Guidelines

The agency’s updated advisory for companies and first-ever guidance for individuals shed additional light on its approach for recognizing cooperation. On January 19, 2017, the Division of Enforcement (Division) of the...more

SEC Announces Customer Protection Rule Initiative

Broker-dealers with historical or ongoing instances of non-compliance with the SEC’s Customer Protection Rule are encouraged to self-report by November 1, 2016. On June 23, 2016, the Securities and Exchange...more

The Cold Comfort of the Best Interest Contract Exemption

The BIC Exemption to the new DOL Fiduciary Rule offers some relief, but at a potentially prohibitive cost. The US Department of Labor (the DOL) recently forced the most significant change to the investment community...more

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