The Power of Lawyer Letters
Consumer Finance Monitor Podcast Episode: A Deep Dive into Mass Mailings by Debt Relief Law Firms
On January 13, 2025, the U.S. Securities and Exchange Commission announced settled enforcement actions with five registered investment advisers for failing to maintain and preserve internal electronic communications. These...more
Generally speaking, investigatory procedures, including use of compulsory process, may be used by Federal Trade Commission (FTC) attorneys in connection with the spectrum of activities that the agency is authorized or...more
The SEC seeks to regulate trading through internal compliance processes. The SEC settled insider trading charges in relation to misuse of a Rule 10b5-1 plan established in the name of a British Virgin Islands entity owned...more
On July 3, 2019, Chairman Jay Clayton of the Securities and Exchange Commission (SEC) issued a Statement Regarding Offers of Settlement (the “Public Statement”) to announce a significant shift in the SEC’s process of...more
The Budget Implementation Act, 2018, No. 2, Statutes of Canada 2018, c.27, received Royal Assent on December 13, 2018. As discussed in our earlier article, this is wide-ranging legislation implementing various provisions of...more