News & Analysis as of

Enforcement Actions BlackRock

Foley Hoag LLP

Foley Hoag 2024 White Collar Year In Preview Series

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The government had another busy year in 2023, investigating and prosecuting healthcare fraud cases on multiple fronts. Contending with the enormous healthcare crises of the now-concluded COVID-19 pandemic and the ongoing...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Two Blackrock Target Date Fund cases dismissed

Two lawsuits questioning the prudence of plans holding the BlackRock Lifepath target-date funds were thrown out. The two suits, one involving Capital One Financial Corp., and the other involving Booz Allen Hamilton were...more

Goodwin

Financial Services Weekly News: FDIC Issues Deposit Insurance Application Guidance For Non-Banks

Goodwin on

In This Issue. The Federal Deposit Insurance Corporation (FDIC) published new procedures for federal deposit insurance applications from applicants that are not traditional community banks; federal banking regulators released...more

Robins Kaplan LLP

Financial Daily Dose 12.06.2019 | Top Story: Aramco Prices Shares at High-end of Range That Would Value Company at $1.7 trillion

Robins Kaplan LLP on

Saudi Aramco has priced its offering at the high end of its range, setting the company up to raise more than $25 billion and value the company at nearly $1.7 trillion—all part of what promises to make this the world’s biggest...more

Robins Kaplan LLP

Financial Daily Dose 9.16.2019 | Top Story: Weekend Attack on Aramco Oil Fields Sends Energy Prices Soaring

Robins Kaplan LLP on

A drone attack on Saudi Aramco oilfields this weekend affected 5% of global production and sent “energy prices substantially higher” late Sunday and early today. Analysts don’t anticipate a “severe shock to energy markets and...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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Google is facing a federal lawsuit in San Francisco over last week’s AP investigation that showed that the search giant “was sill tracking iPhone and Android device users, even if they turned off the ‘Location History’...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

U.S. Financial Industry Developments - CFTC Proposes Rules to Simplify Process for Foreign Clearing Organizations to Obtain DCO Registration Exemption - On August 8, 2018, the Commodity Futures Trading Commission (CFTC)...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

Meet ZTE (well, meet them again.  We’ve discussed them before), the massive Chinese electronics maker banned last month by the White House from using US-made components that could well be the “first casualty of the high-tech...more

McDermott Will & Emery

Capital Markets & Public Companies Quarterly: SEC Issues Cybersecurity Guidance, BlackRock and Gender Diversity, and News from the...

McDermott Will & Emery on

In a telling sign of current events, the SEC staff provided supplemental guidance related to the disclosure of cybersecurity risks and incidents, adding new commentary to its rules regarding disclosure and company controls....more

Dorsey & Whitney LLP

What Message Is Being Sent to CCOs By SEC Commissioners?

Dorsey & Whitney LLP on

The role of the chief compliance officer is the talk of the Securities and Exchange Commission these days – or at least some of its Commissioners. Those who are speaking for the record agree that the role of the CCO is...more

Katten Muchin Rosenman LLP

Bridging the Week - June 2015 #4

Investment Adviser Chief Compliance Officer Blamed in SEC Lawsuit for President’s Theft of Client Funds; SEC Commissioner Criticizes Enforcement Actions Against CCOs Generally - The Securities and Exchange Commission...more

Dorsey & Whitney LLP

SEC Commissioner Gallagher: Guidance is Needed For IA CCOs

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SEC Commissioner Daniel Gallagher published a statement explaining his dissent in two recent enforcement actions in which the Chief Compliance Officer of an investment adviser was charged, noting that the trend in such...more

Manatt, Phelps & Phillips, LLP

Corporate Investigations & White Collar Defense - May 2015

It’s an Absolute Privilege to Meet You! Texas Supreme Court Rules That Internal Investigation Report Provided by Shell Oil to DOJ Enjoys “Absolute Privilege” - Why it matters: On May 15, 2015, the Texas Supreme Court...more

Dorsey & Whitney LLP

BlackRock, CCO Settle SEC Conflict Charges

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Conflicts of interest involving market professionals continue to be a focus of SEC enforcement. In many cases the conflict is uncovered by the inspection staff, OCIE. This time, however, the information came from an article...more

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