This is the third in our First 100 Days series examining important trends in white collar law and investigations in the early days of the Biden administration. Our previous entry discussed sanctions and export control trends....more
3/19/2021
/ Anti-Corruption ,
Asia ,
Biden Administration ,
CFTC ,
Compliance ,
Coronavirus/COVID-19 ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
France ,
Latin America ,
NDAA ,
Securities and Exchange Commission (SEC) ,
UK ,
White Collar Crimes
On December 4, 2020, the SEC brought its first case charging a public company, The Cheesecake Factory, with making misleading disclosures about the effects of COVID-19 on its business operations and financial condition. The...more
12/8/2020
/ Annual Reports ,
Broker-Dealer ,
Compliance ,
Coronavirus/COVID-19 ,
Corporate Counsel ,
Corporate Governance ,
Corporate Misconduct ,
Disclosure Requirements ,
Employee Training ,
Financial Reporting ,
Financial Statements ,
Form 8-K ,
Insider Trading ,
Investment Adviser ,
Penalties ,
Policies and Procedures ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC)
On August 12, 2020, the SEC Office of Compliance Inspections and Examinations (OCIE) published a Risk Alert that identifies potential issues related to the COVID-19 pandemic for SEC-registered investment advisers and...more
9/16/2020
/ Broker-Dealer ,
Business Continuity Plans ,
Business Operations ,
Compliance ,
Coronavirus/COVID-19 ,
Data Protection ,
Fees ,
Investment Adviser ,
Investment Fraud ,
OCIE ,
Personally Identifiable Information ,
Policies and Procedures ,
Popular ,
Remote Working ,
Risk Alert ,
Securities and Exchange Commission (SEC) ,
Supervision
Earlier this month, the Criminal Division of the United States Department of Justice (DOJ) updated its Evaluation of Corporate Compliance Programs guidance. In considering enforcement actions against companies, prosecutors...more
On April 2, Securities and Exchange Commission (SEC) Chairman Jay Clayton announced that despite the COVID-19 emergency, the SEC will not extend the June 30 deadline for compliance with Regulation Best Interest (Reg BI) and...more
On January 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its annual examination priorities for the coming year (2020 Priorities). The 2020 Priorities are important for regulated entities,...more