Michael Hardin

Michael Hardin

Herbert Smith Freehills Kramer

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The SEC’s New Proposed Rule To Regulate Security-Based Swaps Raises Practical Concerns for the Industry and May Exceed the SEC’s...

On Dec. 15, 2021, the U.S. Securities and Exchange Commission (SEC or Commission) proposed Rule 240.9j-1 (the Rule), intended “to prevent fraud, manipulation, and deception in connection with effecting transactions in, or...more

3/10/2022  /  Disclosure Requirements , Dodd-Frank , Proposed Rules , Securities and Exchange Commission (SEC) , Securities Fraud , Security-Based Swaps

New Deputy Attorney General Announces Policy Shifts in the Prosecution of Corporate Crime

In her Oct. 28, 2021 keynote address at the American Bar Association’s 36th National Institute on White Collar Crime, new Deputy Attorney General (DAG) Lisa Monaco announced several policy changes to the Department of...more

11/9/2021  /  American Bar Association (ABA) , Attorney General , Corporate Crimes , Corporate Monitoring , Criminal Investigations , Criminal Prosecution , Department of Justice (DOJ) , Enforcement Guidance , Federal Prosecutors , White Collar Crimes

New SEC Enforcement Division Director Signals Policy Shifts, Including Potential Emphasis on Admissions of Wrongdoing

In a recent speech at the Practising Law Institute’s annual SEC Speaks conference, Gurbir Grewal, the new director of the Division of Enforcement for the Securities and Exchange Commission (SEC or Commission), signaled...more

10/26/2021  /  Board of Directors , Corporate Counsel , Corporate Governance , Enforcement Actions , Enforcement Priorities , Government Investigations , Publicly-Traded Companies , Regulatory Agenda , Securities and Exchange Commission (SEC)

Second Circuit Declines to Strike Down No-Deny Provision of Executive’s SEC Consent Agreement

On Sept. 27, 2021, the U.S. Court of Appeals for the Second Circuit rejected the most recent legal challenge to the Securities and Exchange Commission’s (SEC) practice of using “no-deny” consent agreements to resolve civil...more

10/6/2021  /  Consent Agreements , Due Process , Enforcement Actions , First Amendment , Jurisdiction , Neither Admit Nor Deny Settlements , Securities and Exchange Commission (SEC) , Standing

DOJ Criminal Division Releases Updated Guidance for Evaluation of Corporate Compliance Programs

On April 30, 2019, Brian A. Benczkowski, the assistant attorney general for the Criminal Division of the United States Department of Justice, announced the release of an updated version of the Criminal Division’s guidance for...more

5/10/2019  /  Compliance , Corporate Misconduct , Corruption , Department of Justice (DOJ) , Internal Controls , Internal Investigations , New Guidance , Risk Assessment , White Collar Crimes
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