In Hollywood, the sequel (or, even more so, the third installment) is rarely as good as the original movie. In the world of enforcement, the same rings true....more
3/6/2025
/ Artificial Intelligence ,
Consent Order ,
Corporate Governance ,
Corporate Misconduct ,
Criminal Conspiracy ,
Criminal Convictions ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Enforcement Actions ,
False Statements ,
Financial Crimes ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Violations ,
Subsidiaries ,
White Collar Crimes
President Joe Biden on Jan. 26, 2024, announced a pause on pending decisions for permits to export liquified natural gas (LNG) to non-free trade agreement countries until the U.S. Department of Energy (DOE) can update the...more
1/30/2024
/ Administrative Review ,
Applications ,
Biden Administration ,
Department of Energy (DOE) ,
Energy Information Association (EIA) ,
Energy Policy ,
Environmental Policies ,
Exports ,
Liquid Natural Gas ,
National Security ,
Oil & Gas ,
Permits
In a series of settlements announced this year, the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) penalized several broker-dealers for allegedly failing to file...more
11/9/2023
/ Anti-Money Laundering ,
Banking Sector ,
Broker-Dealer ,
Compliance Monitoring ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
NASD ,
Registered Representatives ,
Regulation SHO ,
Remediation ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Self-Reporting ,
Settlement ,
Suspicious Activity Reports (SARs) ,
Threshold Requirements
Enforcement was in the air this Valentine's Day for the New York and Forth Worth Regional offices of the SEC, who on Feb. 14, 2023, announced charges against Christopher S. Kirchner – the former CEO of supply chain logistics...more
The U.S. Department of Justice (DOJ), through Assistant Attorney General Kenneth A. Polite Jr., announced on Jan. 17, 2023, "the first significant changes" to its Corporate Enforcement Policy (CEP) since 2017. The revisions...more
1/23/2023
/ Compliance ,
Cooperation ,
Corporate Misconduct ,
Corruption ,
Criminal Investigations ,
Criminal Prosecution ,
Declination ,
Department of Justice (DOJ) ,
Enforcement ,
Federal Sentencing Guidelines ,
Policy Updates ,
Remediation ,
Self-Disclosure Requirements ,
Voluntary Disclosure ,
White Collar Crimes
The government's focus on clawbacks is at a fever pitch. At the Practicing Law Institute's SEC Speaks conference earlier this month, senior officials within the SEC's Division of Enforcement emphasized the agency's increasing...more
9/19/2022
/ Clawbacks ,
Corporate Misconduct ,
Disgorgement ,
Executive Compensation ,
Financial Reporting ,
Financial Restatements ,
Legal History ,
Publicly-Traded Companies ,
Sarbanes-Oxley ,
Section 304 ,
Securities and Exchange Commission (SEC)
The staff of the SEC's Division of Examinations (Exam) recently issued a Risk Alert that detailed certain rules registered investment advisers must comply with to prevent the misuse of material nonpublic information (MNPI),...more
Holland & Knight invites you to read our China Practice Newsletter, in which our authors discuss pertinent Sino-American topics.
HIGHLIGHTS:
..SEC Releases Proposal to Enhance Disclosures for SPACs and De-SPAC...more
5/3/2022
/ Biden Administration ,
China ,
Climate Change ,
Corporate Governance ,
Disclosure Requirements ,
Intellectual Property Protection ,
Mandatory Arbitration Clauses ,
Metaverse ,
Popular ,
Securities and Exchange Commission (SEC) ,
Sexual Harassment ,
Special Purpose Acquisition Companies (SPACs)
The U.S. Securities and Exchange Commission (SEC) on March 21, 2022, proposed rules that would require registrants to disclose information regarding climate-related risks in certain periodic reports and registration...more
Section 929X of the Dodd-Frank Act requires the SEC to implement a regulatory framework around the public disclosure of short sale information. On Feb. 25, 2022, the SEC unanimously approved proposed rules aimed at satisfying...more