Ivan Knauer

Snell & Wilmer

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FCPA Enforcement in 2020: Key Updates to the DOJ/SEC FCPA Resource Guide

In July of this year, the Department of Justice (“DOJ”) and Securities and Exchange Commission (“SEC”) released the second edition of their Resource Guide to the U.S. Foreign Corrupt Practices Act (“FCPA”). The 2020 revamp is...more

9/30/2020 / Best Practices , Compliance Monitoring , Department of Justice (DOJ) , Disgorgement , FCPA Resource Guide , Foreign Corrupt Practices Act (FCPA) , Liu v Securities and Exchange Commission , Pilot Programs , SCOTUS , Securities and Exchange Commission (SEC)

In Liu v. SEC, Supreme Court Upholds – But Limits – SEC’s Ability to Obtain Disgorgement, Leaving Many Questions for Lower Courts...

Can the SEC obtain disgorgement in civil enforcement actions? Yes. What, exactly, is disgorgement? Well, it’s complicated. In an 8-1 opinion, the Supreme Court held that the SEC can seek and obtain disgorgement in...more

6/26/2020 / 15 U.S.C. § 78u(d)(5) , Administrative Authority , Business Expenses , Calculation of Damages , Corporate Misconduct , Disgorgement , Enforcement Actions , Equitable Relief , Kokesh v SEC , Lack of Authority , Liu v Securities and Exchange Commission , Net Profits , Remedies , SCOTUS , Securities and Exchange Commission (SEC)

Logic Prevails as the D.C. Circuit Reverses the SEC: An Investment Adviser Cannot Be Negligent and Intentional at the Same Time

In a triumph of reason over complexity, the D.C. Circuit has held that an investment adviser cannot negligently commit an intentional act. In so holding, the second highest court in the land has (once again) overturned a...more

5/6/2019 / Administrative Law Judge (ALJ) , Appeals , Conflicts of Interest , De Novo Standard of Review , Investment Adviser , Investment Advisers Act of 1940 , Negligence , Retail Investors , Securities and Exchange Commission (SEC) , Willful Misconduct

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