PLI's inSecurities Podcast - Opening the Securities Enforcement Answer Book
PLI's inSecurities Podcast: A View From the Inside
Compliance Perspectives: Compliance Challenges in India
Nota Bene Episode 83: Fraud Enforcement and Policing COVID Relief: What Businesses Need to Know with Chuck Kreindler
COVID-19 Videocast Series – Episode 2: Conversations from Our Public Tech Company Virtual Situation Room
Podcast: Private Fund Regulatory Update: Post-U.S. Government Shutdown
Podcast: Credit Funds: What Managers Need to Know and Practical Tips to Avoid Insider Trading Risks
WORD OF THE DAY® – Big Boy Letter
The Insider Trading Cartoon Series, Vol. 15 -- United States v. Newman (Part 2)
The Insider Trading Cartoon Series, Vol. 13 -- The Barry Switzer Story
The Insider Trading Cartoon Series, Vol. 14 -- United States v. Newman (Part 1)
The Insider Trading Cartoon Series, Vol. XII -- The Innocent Intermediary
The Insider Trading Cartoon Series, Vol. XI -- Multi-level Tipping
The Insider Trading Cartoon Series, Vol. X -- Tipping (pre-Newman)
The Insider Trading Cartoon Series, Vol. VIII — Negligence?
The Insider Trading Cartoon Series Vol. VII -- Misappropriation Theory (Part the Third)
The Insider Trading Cartoon Series, Vol. V — Misappropriation Theory
Investment Management Update - January 2015
Insider Trading News - Ralph Siciliano discusses US v. Newman
Weekly Brief: Rakoff Orders Gupta To Pay Goldman Sachs' Legal Fees
The new flexible work environment created in the post-pandemic years poses unique challenges for companies and individuals who work outside a traditional office. The SEC knows this and is actively enforcing the securities...more
On May 23, 2023, Rahul Kohlhatkar, Assistant Regional Director in the Division of Enforcement at the San Francisco Regional Office of the U.S. Securities and Exchange Commission (“SEC”), shared the stage with a group of...more
The DOJ and SEC have made no secret of their interest in combatting potential insider trading by high-level executives misusing Rule 10b5-1 plans. Those plans provide a potential safe harbor for executives trading their...more
A year ago, the Department of Justice (“DOJ”) and the Securities and Exchange Commission (“SEC”) heralded data analytics in announcing parallel insider trading actions against a senior executive at a pharmaceutical company...more
On July 25, 2022, the U.S. Securities and Exchange Commission (“SEC”) announced insider trading charges against ten individual defendants across four separate cases (Bhardwaj, Goel, Markin, and Buyer), filed in the...more
On July 25, 2022, the Securities and Exchange Commission (SEC or the Commission) made headlines announcing insider trading charges against 10 individuals across four separate cases, signaling an increased and renewed focus on...more
The U.S. Securities and Exchange Commission (SEC) charged nine individuals with insider trading in three separate actions on July 25, 2022, alleging the misconduct resulted in ill-gotten gains totaling more than $6.8 million....more
There have been several reports of recent crackdowns by India's capital markets regulator, Securities and Exchange Board of India (SEBI) on companies and individuals that were found to be involved in insider trading, front...more
The SEC recently announced the filing of a settled action against Bernard L. Compton, a former Domino's Pizza executive accused of insider trading. The case, though somewhat typical in its facts, highlights two of the SEC's...more
Most media accounts suggest that the incoming Biden administration will usher in a more “aggressive” SEC enforcement posture, with renewed emphasis on investigating potential fraud and controls deficiencies at public...more
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
When the SEC announced it financial fraud task force and a related data initiative to facilitate the identification of situations where the company “cooked the books,” many dubbed the data program “Robocop.” While the SEC may...more