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Supreme Court Curtails SEC In-House Judges on Litigated Civil Penalties

In SEC v. Jarkesy, the Supreme Court held that the Seventh Amendment entitles a defendant to a jury trial when the SEC seeks civil penalties for securities fraud. The decision limits the SEC’s authority to seek civil...more

SEC Releases 2022 Enforcement Division Results

The Securities and Exchange Commission (“SEC”) released an annual summary, on November 15, 2022, of actions brought by the Division of Enforcement (“Division”) over fiscal year 2022 (“Enforcement Summary”), providing an...more

Showdown at the Fifth Circuit Corral—Panel Rules SEC Home-Court Proceedings Violate Multiple Constitutional Provisions

The United States Court of Appeals for the Fifth Circuit issued a major decision on May 18, 2022 holding Securities and Exchange Commission (SEC or Commission) administrative adjudications unconstitutional on multiple...more

SEC Chair Gensler Signals Increased SEC Scrutiny of Private Funds

Securities and Exchange Commission Chair Gary Gensler addressed the Institutional Limited Partners Association (ILPA) Summit on November 10, 2021. During his remarks, he outlined a potentially more expansive role for the SEC...more

OCIE Releases 2020 Examination Priorities

The 2020 Examination Priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission were announced on January 7, 2020, and cover eight broad topics: - Protection...more

CFTC’s Enforcement Division Releases 2019 Annual Report

The CFTC’s Division of Enforcement (Division) released its Annual Report on November 25, 2019, summarizing the Division’s activities over the past year.1 In FY 2019, the CFTC filed 69 enforcement actions, down from 83 in FY...more

SEC Enforcement Division Releases 2018 Annual Report

On November 2, 2018, the SEC Enforcement Division (“Division”) released its Annual Report summarizing the past year’s enforcement activity. In the 2018 fiscal year, the first full fiscal year that Stephanie Avakian and Steven...more

Global Private Equity Newsletter - Fall 2018: Congress Enacts CFIUS Reform in Effort to Strengthen Foreign Investment Rules

President Trump signed into law the Foreign Investment Risk Review Modernization Act of 2018 (FIRRMA) on August 13, 2018, which was included as part of the annual National Defense Authorization Act (NDAA). FIRRMA...more

Second Circuit Limits FCPA’s Extraterritorial Reach Over Non-U.S. Persons in Conspiracy and Aiding and Abetting Cases

The United States Court of Appeals for the Second Circuit dealt a blow to the U.S. government’s extraterritorial enforcement power on Friday, August 24, 2018, in prosecuting alleged violations of the Foreign Corrupt Practices...more

Congress Finalizes CFIUS Reform as Final Passage Appears Imminent

After conferees from the U.S. House of Representatives (House) and U.S. Senate (Senate) reached agreement on the Foreign Investment Risk Review Modernization Act (FIRRMA), the House on Thursday, June 26, 2018, passed...more

House of Representatives Passes CFIUS Reform as the Trump Administration Reiterates its Support

The U.S. House of Representatives (the House) on June 26, 2018, passed legislation designed to reform and strengthen the authority of the Committee on Foreign Investment in the United States (CFIUS or the Committee), the...more

US Department of Justice Announces New Corporate Enforcement Penalty Policy

In a speech at the New York City Bar White Collar Crime Institute on May 9, 2018, Deputy Attorney General Rod Rosenstein announced a new U.S. Department of Justice (DOJ) policy designed to encourage coordination among law...more

The Coming Storm? CFIUS Reform and Considerations for Private Equity

As the United States Congress debates new legislation to strengthen reviews of cross-border transactions for potential national security concerns, the Committee on Foreign Investment in the United States (CFIUS or the...more

OFAC Releases Guidance on Cryptocurrency

The U.S. government has recently been active with respect to regulating cryptocurrencies. For its part, the U.S. Treasury Department’s Office of Foreign Assets Control (OFAC) recently released guidance—issued in the form of...more

Supreme Court Clarifies Dodd-Frank Whistleblower Provision

In a decision with substantial implications for Securities and Exchange Commission ("SEC" or "Commission") enforcement, on February 21, 2018, the U.S. Supreme Court unanimously narrowed the scope of anti-retaliation...more

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