David Meister on Securities and Exchange Commission (SEC)

Biden Administration Signals Its Intention To Be Tougher on Corporate Crime

Forecasting the enforcement priorities of the Department of Justice (DOJ) under a new administration is difficult at best. However, the Biden administration is widely expected to be tougher on corporate crime than its...more

1/27/2021 / Anti-Bribery , CFTC , Corporate Governance , Corporate Misconduct , Department of Justice (DOJ) , Enforcement Priorities , Financial Institutions , Foreign Corrupt Practices Act (FCPA) , Government Investigations , Regulatory Authority , Securities and Exchange Commission (SEC) , White Collar Crimes

Inside the Courts – An Update From Skadden Securities Litigators

This quarter’s issue includes summaries and associated court opinions of selected cases principally decided between July and October 2020. Class Certification - Cryptocurrency – Definition of a Security - Derivative...more

OMB Announces Best Practices for Regulatory Enforcement and Adjudication

On August 31, 2020, the Office of Information and Regulatory Affairs (OIRA), within the Office of Management and Budget (OMB), issued a memorandum to all executive departments and agencies on reforming regulatory enforcement...more

10/14/2020 / Administrative Proceedings , Best Practices , Burden of Proof , CFTC , Civil Liability , Civil Monetary Penalty , Criminal Penalties , Criminal Prosecution , Department of Justice (DOJ) , Enforcement Actions , Executive Orders , FinCEN , Office of Foreign Assets Control (OFAC) , OMB , Publicly-Traded Companies , Regulatory Oversight , Securities and Exchange Commission (SEC) , Standard of Review

DOJ and SEC Issue Second Edition of the FCPA Resource Guide

On July 3, 2020, the U.S. Department of Justice (DOJ) and U.S. Securities and Exchange Commission (SEC) jointly released the second edition of the “Resource Guide to the U.S. Foreign Corrupt Practices Act,” which was...more

7/17/2020 / Accounting Controls , Acquisitions , Co-Conspirators , Compliance , Conspiracies , Department of Justice (DOJ) , Disgorgement , Due Diligence , FCPA Resource Guide , Foreign Corrupt Practices Act (FCPA) , Foreign Official , Instrumentality , Intent , Meals-Gifts-and Entertainment Rules , Mergers , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Third Party Payments , Travel

Compliance in a Time of Crisis

Addressing the Evolving Risks - Warren Buffett said that “only when the tide goes out do you discover who’s been swimming naked.” Buffett was not talking about compliance programs in a time of crisis, but his wisdom applies...more

Inside the Courts – An Update From Skadden Securities Litigators - April 2020

This issue includes summaries and associated court opinions of selected cases principally decided between October 2019 and January 2020. ...more

4/6/2020 / Aiding and Abetting , Books & Records , Breach of Duty , Bylaws , CEOs , Civil Liability , Collateral Estoppel , Criminal Convictions , DE Supreme Court , Demand Futility , Derivative Suit , Dismissals , Enforcement Actions , Exchange-Traded Products , False Statements , Federal Pleading Requirements , Fiduciary Duty , Initial Public Offering (IPO) , Injunctions , Investment Adviser , Item 303 , Lack of Particularity , Mergers , Misleading Statements , Misrepresentation , Notice Requirements , Price-Fixing , PSLRA , Pyramid Schemes , Registration Statement , RICO , Scienter , Scope of Discovery Requests , Section 11 , Section 220 Request , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Fraud , Securities Litigation , Securities Violations , Shareholder Litigation , Shareholder Votes , Summary Judgment

Repurchase and Trading Issues Arising Out of COVID-19 Market Disruptions

The current market environment and unprecedented volatility during the COVID-19 pandemic has created novel issues, and in some cases opportunities, for public companies and individuals regarding securities trading. The below...more

3/30/2020 / 10b5-1 Plans , Coronavirus/COVID-19 , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Securities Regulation , Stock Options , Stock Repurchases , Stock Sale Agreements , Trading Policies

Skadden's 2020 Insights

Despite political and economic uncertainties, markets and deal activity were resilient in 2019, and strong fundamentals remain in place heading into 2020. Companies continue to face a challenging litigation and enforcement...more

1/30/2020 / Acquisitions , Administrative Procedure Act , Anti-Discrimination Policies , Anti-Harassment Policies , Anti-Kickback Statute , Antitrust Investigations , Appeals , Arbitration Awards , Attorney General , Backstop Agreements , BEPS , BitLicense , Blockchain , Board of Directors , Bonds , Capital Markets , CFIUS , CFTC , Chapter 11 , Claim Preclusion , Class Action , Commercial Bankruptcy , Common Stock , Congressional Investigations & Hearings , Congressional Subpoenas , Consumer Financial Protection Bureau (CFPB) , Cooperation Agreement , Copyright , Corporate Governance , Corporate Restructuring , Corporate Social Responsibility , Corporate Taxes , Corwin Doctrine , Covenant Lite Deals , Creditors , Cross-Border Transactions , DACA , DE Supreme Court , Debt Financing , Debtors , Department of Justice (DOJ) , Dischargeable Debts , Disgorgement , Disparate Impact , Dodd-Frank , Down Rounds , Drug Pricing , EBITDA , Employee Retirement Income Security Act (ERISA) , Employer Liability Issues , Employment Discrimination , Enforcement Actions , Enforcement of Foreign Judgments , Enterprise Act 2002 , Environmental Social & Governance (ESG) , EU , Fair Housing Act (FHA) , Federal Trade Commission (FTC) , FinTech , FIRRMA , Foreign Acquisitions , Foreign Investment , Foreign Issuers , FRCP 23 , General Data Protection Regulation (GDPR) , General Elections , GILTI tax , High-Yield Markets , Hong Kong , Hong Kong Stock Exchange , Individual Accountability , Initial Public Offering (IPO) , Intellectual Property Litigation , Intercreditor Agreements , International Arbitration , International Litigation , IRS , Issue Preclusion , Japan , Joint Venture , Legislative Agendas , Life Sciences , Listing Rules , Litigation Strategies , Make-Whole Premium , Mergers , MFW , Multinationals , National Security , PCAOB , Pharmaceutical Industry , Political Parties , Preferred Shares , Private Offerings , Privately Held Corporations , Proxy Advisory Firms , Publicly-Traded Companies , Refinancing , Regulatory Agenda , Reporting Requirements , SCOTUS , Securities and Exchange Commission (SEC) , Securities Litigation , Separation of Powers , Shareholder Activism , Shareholder Proposals , Shareholders , Split of Authority , State Labor Laws , Stock Drop Litigation , Tax Cuts and Jobs Act , Tax Litigation , Technology Sector , Third-Party Release Agrements , Transparency , UK , UK Brexit , Valuation , White Collar Crimes

Cross-Border Investigations Update - September 2019

This issue of Skadden’s semiannual Cross-Border Investigations Update takes a close look at recent cases, regulatory activity and other key developments, including a review of the first year of GDPR enforcement, analysis of...more

10/3/2019 / Anti-Money Laundering , Appeals , Blocking Statutes , Bribery , CFTC , China , CLOUD Act , Communication Restrictions , Compliance , Conspiracies , Cooperation Agreement , Crime (Overseas Production Orders) Act 2019 (the COPO Act) , Criminal Prosecution , Cross-Border Transactions , Cryptocurrency , Cybersecurity , Deferred Prosecution Agreements , Denial of Certiorari , Department of Justice (DOJ) , Deutsche Bank , Disclosure , Dodd-Frank , Economic Sanctions , Enforcement Actions , EU , EURIBOR , Exports , Extradition , Extraterritoriality Rules , Financial Conduct Authority (FCA) , Financial Records , Foreign Corrupt Practices Act (FCPA) , Foreign Exchanges , France , Fraud , General Data Protection Regulation (GDPR) , Government Investigations , Hackers , Hungary , Imports , India , Indictments , Information Sharing , Iran Sanctions , Israel , Lithuania , Money Laundering , Morrison v National Australia Bank , Multinationals , Office of Foreign Assets Control (OFAC) , Opioid , Pharmaceutical Industry , Popular , Rate-Rigging , SCOTUS , Securities and Exchange Commission (SEC) , Serious Fraud Office (SFO) , Spoofing , Subpoenas , Swiss Supreme Court , Switzerland , Tax Crimes , Tax Evasion , Tax Treaty , Turkey , UK , United States , Venezuela , Wal-Mart

Inside the Courts – An Update From Skadden Securities Litigators - September 2019

This quarter’s issue includes summaries and associated court opinions of selected cases principally decided between May and August 2019....more

Inside the Courts – An Update From Skadden Securities Litigators - March 2019

This quarter’s issue includes summaries and associated court opinions of selected cases principally decided between December 2018 and February 2019....more

Cross-Border Investigations Update - January 2019

This issue of Skadden’s semiannual Cross-Border Investigations Update takes a close look at recent cases, regulatory activity and other key developments, including DOJ guidance on the use of corporate monitors in criminal...more

1/7/2019 / Anti-Bribery , Anti-Corruption , Anti-Money Laundering , Appeals , Attorney-Client Privilege , Brazil , Bribery , BSA/AML , China , Corporate Counsel , Criminal Conspiracy , Criminal Convictions , Criminal Investigations , Cross-Border , Cryptocurrency , Cyber Attacks , Cybersecurity , Data Privacy , Data Protection Acts , Department of Justice (DOJ) , Enforcement Actions , EU , Exports , Extraterritoriality Rules , FATCA , Financial Crimes , Foreign Corrupt Practices Act (FCPA) , Forex , France , Government Investigations , Guilty Pleas , Hackers , Imports , International Litigation , Iran , Legal Professional Privilege , Libor , Litigation Privilege , Market Manipulation , Money Laundering , Multi-Jurisdictional Litigation , Multinationals , NYDFS , Privileged Communication , Russia , Sanction Violations , Securities and Exchange Commission (SEC) , Securities Fraud , SFO , Spoofing , Tax Fraud , Traders , UK , Unexplained Wealth Orders (UWOs) , United Arab Emirates (UAE) , Yates Memorandum

Inside the Courts – An Update From Skadden Securities Litigators - December 2018

This quarter’s issue includes summaries and associated court opinions of selected cases principally decided between September 2018 and October 2018. ...more

12/7/2018 / Acquisitions , Administrative Law Judge (ALJ) , Aiding and Abetting , Appointments Clause , Breach of Duty , Claim Preclusion , Class Action , Constitutional Challenges , Controlling Stockholders , Damages , Dismissals , Enforcement Actions , Extraterritoriality Rules , Fiduciary Duty , Financial Institutions , General Partnerships , Initial Coin Offering (ICOs) , Investment Funds , Jurisdiction , Lucia v SEC , Material Adverse Effects , Material Misrepresentation , Merger Agreements , Mergers , MFW , Misrepresentation , Pleading Standards , Popular , Proxy Solicitations , PSLRA , Rule 10(b) , Scienter , Section 11 , Securities , Securities Act , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Fraud , Securities Litigation , Shareholder Litigation , SLUSA , Squeeze-Out Mergers

Inside the Courts – An Update From Skadden Securities Litigators - September 2018

This quarter’s issue includes summaries and associated court opinions of selected cases principally decided between May 2018 and August 2018.... US Supreme Court - Supreme Court Holds That SEC Administrative Law Judges...more

CFTC and SEC Approve Revised Memorandum of Understanding on Information Sharing

On June 29, 2018, the U.S. Commodity Futures Trading Commission (CFTC) and the U.S. Securities and Exchange Commission (SEC, and together the Commissions) announced that the Commissions approved a memorandum of understanding...more

7/10/2018 / CFTC , Commodities , Derivatives , Dodd-Frank , FX Swaps , Information Sharing , Memorandum of Understanding , Regulatory Agenda , Securities and Exchange Commission (SEC) , Security-Based Swaps , Swaps , Trump Administration , Virtual Currency

Agencies Indicate Efficient, Targeted Enforcement Priorities That Rely on Self-Disclosure

One year into the Trump administration, it remains difficult to forecast what lies ahead with respect to regulatory and white collar enforcement activity. Perhaps most instructive are recent public statements of officials at...more

1/29/2018 / Broken Windows , CFTC , Civil Monetary Penalty , Criminal Prosecution , Department of Justice (DOJ) , Enforcement Actions , Foreign Corrupt Practices Act (FCPA) , Fraud , Material Disclosures , Multi-Jurisdictional Litigation , Municipal Securities Issuers , Omissions , Ponzi Scheme , Retail Investors , Securities and Exchange Commission (SEC) , Self-Reporting , Trump Administration , White Collar Crimes

Supreme Court Applies Statute of Limitations to SEC Disgorgement Orders

In a unanimous decision issued on June 5, 2017, the U.S. Supreme Court, in Kokesh v. SEC, 581 U.S. ___, held that disgorgement in securities enforcement cases is a “penalty” within the meaning of 28 U.S.C. § 2462, the general...more

6/8/2017 / Disgorgement , Enforcement Actions , Kokesh v SEC , Penalties , SCOTUS , Securities and Exchange Commission (SEC) , Securities Fraud , Statute of Limitations

David Meister

Skadden, Arps, Slate, Meagher & Flom LLP

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