News & Analysis as of

Insider Trading Cybersecurity

This Week In Securities Litigation

by Dorsey & Whitney LLP on

Recently installed Chairman Jay Clayton delivered his first remarks this week, outlining his views for moving forward. The Chairman emphasized IPOs, market structure, assessing the impact and cost of regulations and cyber...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

Chairman Clayton continued to build the senior staff this week, appointing Acting Enforcement Division Director Stephanie Avakian and Sullivan and Cromwell partner Steven Peikin as Co-Directors of the Division of Enforcement....more

SEC Speaks: 2017 Enforcement and Exam Trends for Private Funds

At the recent SEC Speaks program, sponsored by PLI, senior SEC staff members provided valuable insight into the SEC’s 2017 priorities for private funds. While the tenor of this year’s discussion seemed to focus more on...more

SEC Speaks 2017

by Morgan Lewis on

Commission staff highlight key developments and successes in the SEC enforcement program. As they do every year, senior officials from the US Securities and Exchange Commission (SEC or the Commission), including current...more

Law Firm Data Breaches Demonstrate the Expanding Scope of Cyber Attacks

In a case of “cyber meets securities fraud,” the United States Attorney’s Office for the Southern District of New York (“SDNY”) recently indicted three foreign nationals on charges of insider trading, wire fraud, and computer...more

The Financial Report, Volume 5, Number 22 - December 2016

by DLA Piper on

Discussion and Analysis - Whenever a pendulum swings too far in one direction, it is inevitable that it will swing back in the opposite direction. Some simply refer to this as a “reversion to the mean.” Tuesday’s...more

The Year In Review: SEC Enforcement Actions Against Investment Advisers

by K&L Gates LLP on

The Securities and Exchange Commission’s enforcement program is highly focused on investment advisers for an obvious reason: they manage more than $67 trillion in assets for approximately 30 million clients. In addition,...more

Financial Services Weekly News - December 2016

by Goodwin on

Editor's Note - OCC to Move Forward with Federal FinTech Charter. In a development foreshadowed in the April 6, June 29 and September 14 editions of the Roundup, on December 2, the Office of the Comptroller of the...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Here’s an interesting take on the future of the labor market (especially for an emerging generation that is better with a screen than eye contact)—because robots and AI will be able to take over anything that’s routine,...more

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

by Proskauer Rose LLP on

This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Federal regulators unveiled a proposal yesterday that would push the country’s biggest banks and other “critical financial companies” to shore up cybersecurity protocols, to prevent hacks, and to have a recovery plan at the...more

The Financial Report, Volume 5, Number 19

by DLA Piper on

A recent article by Todd Ehret, the Senior Regulatory Intelligence Expert for Thomson Reuters Regulatory Intelligence, points out that the SEC’s Office of Compliance, Inspections, and Examinations (OCIE), in its “2015...more

Securities Enforcement: 2016 Mid-Year Review

by Shearman & Sterling LLP on

The Securities and Exchange Commission (the SEC or the Commission) brought over 400 enforcement actions in the first half of 2016 and is on pace to surpass its record of 807 enforcements actions in a single fiscal year, which...more

Your daily dose of financial news - The Brief – 6.10.16

by Robins Kaplan LLP on

More thoughts on the Department of Labor’s new retirement adviser fiduciary duty standard, including questions about the “grassroots” movement the US Chamber of Commerce is claiming to support its opposition to the standard....more

FBI issues warning to law firms

The FBI has issued a Private Industry Notification to law firms indicating that a cyber crime insider trading ring is targeting “international law firm information used to facilitate business ventures.” According to the FBI...more

Highlights from the SEC Speaks — 2016 Enforcement Priorities

by K&L Gates LLP on

Senior members of the Securities and Exchange Commission’s (“SEC” or “Commission”) Division of Enforcement (“Division”) addressed the defense bar on February 19, 2016, during the Practising Law Institute’s annual “SEC Speaks”...more

SEC Speaks Conference 2016: Key Takeaways for Public Companies

by Latham & Watkins LLP on

Senior SEC enforcement staff “Speaks” to the division’s performance in 2015 and identifies priorities for 2016. Senior members of the Enforcement Division of the US Securities and Exchange Commission (SEC) gathered on...more

SEC Speaks 2016: Enforcement Panels Double Down on Use of Data Analytics

by Morgan Lewis on

Data collection and analysis continue to impact SEC’s approach to enforcement. The increasing use of data analytics to jump-start investigations and enforcement efforts dominated the panel discussion at this year’s...more

SEC Speaks – What to Expect in 2016

The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. The presentations covered an array of topics, but...more

Securities Enforcement 2015 Year-End Review

by Shearman & Sterling LLP on

The Securities and Exchange Commission (the SEC or the Commission) filed a record 807 enforcement actions in fiscal year 2015, 52 more than it filed in 2014. It also set a record by obtaining approximately $4.2 billion in...more

[Webinar] White Collar Crimes in Indo-U.S. context: Do’s and Don’ts - Meritas Capability Webinar - Feb. 3rd, 10:00am EST

While emerging markets represent untapped growth potential and investment opportunities, there is often a sharp contrast between global best practices and compliance requirements and accepted business practices prevalent in...more

5 Securities Litigation Issues to Watch in 2016

The coming year promises to be a pivotal one in the world of securities and corporate governance litigation. In particular, there are five developing issues we are watching that have the greatest potential to significantly...more

Corporate Investigations & White Collar Defense - October 2015

"Wherefore Art Thou Due Process?" Part III - Why it matters: It is time for another installment in our continuing "Wherefore Art Thou Due Process?" coverage into the ongoing constitutional challenges to the SEC's...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The Commission responded to critics of its administrative proceedings this week, proposing changes to the Rules of Practice which govern them. If adopted the new rules would modify the time period within which the actions...more

Unprecedented Hacking and Trading Scheme Highlights Key Cybersecurity Lessons

by King & Spalding on

On Aug. 11, 2015, federal prosecutors in the District of New Jersey and the Eastern District of New York unsealed indictments against nine individuals in the U.S. and Ukraine who were allegedly involved in a five-year,...more

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Cybersecurity

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