Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine:
•The Supreme Court’s Jarkesy decision and its impact on the...more
7/16/2024
/ Administrative Law Judge (ALJ) ,
Administrative Proceedings ,
Corporate Counsel ,
Dodd-Frank ,
Glass Lewis ,
Insider Trading ,
Institutional Shareholder Services (ISS) ,
Investment Advisers Act of 1940 ,
Proxy Advisory Firms ,
Rule 10b-5 ,
SCOTUS ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Tokens ,
Seventh Amendment
Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine:
•The permanent suspension of an audit firm and its owner for...more
6/28/2024
/ CEOs ,
Corporate Counsel ,
Cyber Incident Reporting ,
Fraud ,
Insider Trading ,
Loans ,
PCAOB ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Stock Prices ,
Taxable Income
On June 21, 2024, a jury in California federal court found a former chief executive officer of a publicly traded healthcare company guilty of insider trading in United States v. Peizer, the first criminal insider-trading case...more
Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine:
•The SEC’s first “Shadow Trading” trial;
•SCOTUS’s...more
5/21/2024
/ Books & Records ,
Breach of Duty ,
Climate Change ,
Compliance ,
Corporate Counsel ,
Cryptocurrency ,
Data Privacy ,
Insider Trading ,
Investment Advisers Act of 1940 ,
Macquarie Infrastructure Corp v Moab Partners LP ,
Marketing ,
Misappropriation ,
Non-Public Information ,
Omissions ,
Regulation S-K ,
Reporting Requirements ,
Rule 10b-5 ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Stays
On April 5, 2024, a jury in California federal court found a former corporate executive liable for insider trading in SEC v. Panuwat, a novel enforcement action involving a theory known as “shadow trading.” In Panuwat, the...more
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This...more
On March 1, 2023, the U.S. Department of Justice (DOJ) and Securities and Exchange Commission (SEC) brought insider trading charges against Terren S. Peizer, the founder, Executive Chairman, and Chairman of the Board of...more
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important and interesting SEC enforcement developments from the past month, with links to primary...more
11/11/2022
/ Blockchain ,
Corporate Counsel ,
Duty to Disclose ,
Enforcement Actions ,
Insider Trading ,
PCAOB ,
Rules of Professional Conduct ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Fraud ,
Securities Violations
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, which was an active one as the SEC...more
10/12/2022
/ AT&T ,
Boeing ,
Broker-Dealer ,
Corporate Counsel ,
Enforcement Actions ,
Insider Trading ,
Investment Adviser ,
MNPI ,
Negligence ,
Personally Identifiable Information ,
Recordkeeping Requirements ,
Regulation FD ,
Securities and Exchange Commission (SEC)
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important U.S. Securities and Exchange Commission (SEC) enforcement developments from the past month,...more
8/8/2022
/ Chief Compliance Officers ,
Chief Information Security Officer (CISO) ,
Compliance ,
Corporate Counsel ,
Cryptocurrency ,
Financial Institutions ,
Identity Theft ,
Insider Trading ,
Investment Adviser ,
Investment Schemes ,
Popular ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC)
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important and interesting SEC enforcement developments from the past month, with links to primary...more
2/3/2022
/ Aiding and Abetting ,
CEOs ,
CFOs ,
Compliance ,
Corporate Counsel ,
Insider Trading ,
Internal Investigations ,
MNPI ,
Remediation ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
On December 15, 2021, the U.S. Securities and Exchange Commission (the SEC) proposed amendments to the affirmative defense in Rule 10b5-1(c) under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and...more
12/17/2021
/ 10b5-1 Plans ,
Cooling-Off Rule ,
Corporate Governance ,
Disclosure Requirements ,
Gary Gensler ,
Good Faith ,
Insider Trading ,
Proposed Amendments ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation
Haima Marlier, David Newman, and Haydn Forrest authored an article for Law360 discussing the increased scrutiny related to insider trading in the time of the coronavirus outbreak, analyzing the investigation into Senator...more
As the coronavirus (COVID-19) outbreak continues to rapidly unfold and create uncertainty in the market, companies are considering whether to opportunistically buy back stock, or to otherwise take advantage of the current...more