As the year gets underway, the Securities and Exchange Commission (SEC or Commission) is continuing its ongoing enforcement efforts to target anti-whistleblower practices by pursuing a broader range of entities and...more
2/15/2024
/ Cease and Desist ,
Civil Monetary Penalty ,
Compliance ,
Confidentiality Agreements ,
Enforcement Actions ,
Financial Institutions ,
Penalties ,
Securities and Exchange Commission (SEC) ,
Voluntary Disclosure ,
Whistleblower Protection Policies ,
Whistleblowers
If there is a hearing, it will likely be televised. In this episode, Stavroula explains that, in congressional investigations, the real audience is not the committee and that the hearings, as often as not, are designed to...more
On June 21, 2018 the U.S. Supreme Court ruled in Lucia et al. v. Securities and Exchange Commission, [1] that the appointment of certain administrative law judges (“ALJs”) was unconstitutional, and that those with matters...more
7/2/2018
/ Administrative Agencies ,
Administrative Law Judge (ALJ) ,
Administrative Proceedings ,
Appeals ,
Appointments Clause ,
Constitutional Challenges ,
Enforcement Actions ,
Final Written Decisions ,
Lucia v SEC ,
Officers of the United States ,
Remand ,
Reversal ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Special Trial Judges (STJs)
Recently, attorneys from K&L Gates’ Government Enforcement practice group attended the Securities Industry and Financial Markets Association’s (“SIFMA”) Compliance and Legal Society Annual Seminar. We wanted to share with you...more
3/31/2016
/ Best Interest Contract Exemptions ,
BSA/AML ,
CFTC ,
CMBS ,
Corporate Crimes ,
Cybersecurity ,
Department of Justice (DOJ) ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Corrupt Practices Act (FCPA) ,
Halliburton v Erica P. John Fund ,
Individual Accountability ,
Public Offerings ,
Retirement ,
Securities and Exchange Commission (SEC) ,
Self-Disclosure Requirements ,
Self-Reporting ,
SIFMA ,
Toys R Us
Recently, partners from K&L Gates’ Government Enforcement, Broker-Dealer and Investment Management practice groups attended the Securities Industry and Financial Markets Association’s (“SIFMA”) Compliance and Legal Society...more