FCPA Compliance and Ethics Report-Episode 29-Interview with the FCPA Professor-Part 1
Spitzer "Disappointed" in Wall Street's Regulators
Weekly Brief: Courthouse Violence on the Rise
Should Wall Street Fear Mary Jo White?
On September 21, 2016, Mary Jo White, Chair of the U.S. Securities and Exchange Commission (SEC) spoke at a Legal Practice Division Luncheon at the International Bar Association Annual Conference. She discussed the...more
In testimony before the House Committee on Financial Services on November 18, 2015, SEC Chair Mary Jo White described what the SEC has in store for the investment management industry....more
The U.S. Securities and Exchange Commission (SEC or Commission) unanimously approved a proposal (Proposal) to modernize the reporting of information provided by registered investment companies (funds). Guided by the recent...more
In October 2013, SEC Chair Mary Jo White gave a speech at the Securities Enforcement Forum in which she declared an “enforcement mission” of the SEC to be implementation of the “broken windows” theory of crime deterrence...more
In a speech delivered on June 5, 2014 at the Sandler O’Neill Global Exchange and Brokerage Conference in New York, U.S. Securities and Exchange Commission (SEC) Chair Mary Jo White unveiled a package of SEC initiatives aimed...more
In a recent speech, SEC Chair Mary Jo White highlighted the Commission’s accounting priorities, indicating, among other things, that the Commission plans to issue a statement regarding International Financial Reporting...more
Mary Jo White, Chair of the SEC, recently explained decisions in enforcement actions to a group of white collar crime lawyers. Ever wonder why some cases draw both criminal and civil charges but others do not? ...more
In the wake of Mary Jo White’s appointment as the new Chair of the Securities and Exchange Commission, the SEC’s Division of Enforcement has sought to aggressively investigate alleged accounting violations. ...more
The new Chair of the Securities and Exchange Commission, Mary Jo White, has indicated that the agency will implement new and aggressive enforcement policies, while treading lightly in its rulemaking efforts....more
SEC Chair Mary Jo White announced last week that the SEC is changing its protocol relating to admissions of guilt in settlements with wrongdoers in the securities markets. Historically, SEC practice was to settle cases...more
SEC Chair Mary Jo White outlined the 2014 agenda for the SEC in recent remarks. SEC Chair Mary Jo White, 41st Annual Securities Regulation Institute, Coronado, California (Jan. 27, 2014)(here). Portions of the agenda focused...more
Investors, borrowers, financial institutions, and the economy were not the only casualties of the financial crisis. Regulators were casualties too, and the SEC was one of the hardest hit. Two Harris Polls—one conducted in...more
In this episode 29 of the FCPA Compliance and Ethics Report, I have Part 1 of a 2 part visit with the FCPA Professor about some things on his mind. In this episode, we discuss SEC Chair Mary Jo White's comments about the need...more
Since becoming Chair of the Securities and Exchange Commission (“SEC” or “Commission”) in April 2013, Mary Jo White has articulated a number of new enforcement priorities for the SEC. White has suggested, for instance, that...more
Recent SEC Enforcement Developments - .. Change in SEC policy regarding “no admissions” settlements - SEC Chair Mary Jo White has joined with colleagues at DOJ to change the perception that U.S. companies are...more
In a recent speech delivered at a Futures Industry Association conference, Commissioner Gallagher raised the possibility of a venture exchange. Commissioner Gallagher addressed broader market structure issues in his remarks;...more
Earlier this week, Broc Romanek highlighted a recent panegyric on SEC independence given by SEC Chairwoman Mary Jo White. Independent agencies are the platypodes of the federal government. Many are inclined to view...more
It is almost a government rite of passage – when a new leader takes the reins, the chessboard has to be reorganized to reflect the new leader’s “new priorities.” When it comes to the SEC, and the new Chairwoman Mary Jo...more
As a former US Attorney for the Southern District of New York, Mary Jo White promised a new and more aggressive SEC. She is starting to deliver on that promise....more
We recently caught up with Jim Meyers, partner in Orrick Herrington & Sutcliffe's Washington, D.C., office for his perspective on what we might see regarding SEC enforcement actions in the months ahead. A member of Orrick's...more