Must a public company disclose to its shareholders that it is under investigation by a government agency? The US Court of Appeals for the Second Circuit recently shifted the legal landscape by expanding when a company has a...more
The heavily publicized announcement by New York federal prosecutors of the first-ever charges for insider trading in digital assets — non-fungible tokens, or “NFTs” in particular — is a significant but somewhat confusing...more
Until recently government enforcement and regulatory scrutiny of fraud and other misconduct relating to COVID-19 relief programs were generally limited to end recipients of the relief.
These efforts have mostly been...more
4/20/2022
/ Anti-Money Laundering ,
Bank Secrecy Act ,
CARES Act ,
Compliance ,
Consumer Financial Protection Bureau (CFPB) ,
Coronavirus/COVID-19 ,
Department of Justice (DOJ) ,
ECOA ,
Enforcement ,
Financial Institutions ,
Fraud ,
Loan Forgiveness ,
Loans ,
Paycheck Protection Program (PPP) ,
Risk Mitigation ,
SBA
In a sign that the U.S. Securities and Exchange Commission continues to ramp up its enforcement efforts, the SEC last week in In re: Healthcare Services Group Inc. charged a health care services company and its chief...more