The formation of SEC Enforcement’s Climate and ESG Task Force last year confirmed that ESG had become one of the agency’s top enforcement priorities, and signaled that an uptick in investigations and enforcement actions...more
Editors’ Note: With the advent of the Biden presidency, we invite you to join us as we examine important trends in white collar law and investigations. Our first entry takes a closer look at SEC enforcement. Up next: a review...more
3/11/2021
/ Biden Administration ,
CFTC ,
Corporate Counsel ,
Cryptocurrency ,
Disclosure ,
Disgorgement ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Financial Reporting ,
Foreign Corrupt Practices Act (FCPA) ,
Insider Trading ,
Market Manipulation ,
Private Funds ,
Regulation BI ,
Securities and Exchange Commission (SEC) ,
Whistleblowers
Last month, General Electric agreed to pay a $200 million penalty to settle an SEC enforcement action arising from alleged disclosure violations concerning the company’s power and health insurance businesses. According to...more
Just before the close of its fiscal year, the Securities and Exchange Commission (SEC) brought three noteworthy financial reporting cases against issuers that resulted from the agency’s increasingly sophisticated use of...more
Making clear that it remains focused on misallocation of fees and expenses by private fund advisers, the SEC last week brought a settled administrative proceeding against Monomoy Capital Management, L.P., a New York-based...more