From Vegas to Venezuela: High-Stakes Predictive Markets — Regulatory Oversight Podcast
10 For 10: Top Compliance Stories For the Week Ending, November 1, 2025
Daily Compliance News: October 29, 2025, The CEO No-No Edition
Daily Compliance News: August 1, 2025, The All AI Edition
10 For 10: Top Compliance Stories For the Week Ending, August 2, 2025
Daily Compliance News: July 31, 2025. The Forgotten Generation Edition
Daily Compliance News: June 20, 2025, The Death of the Business Card Edition
PLI's inSecurities Podcast - Opening the Securities Enforcement Answer Book
PLI's inSecurities Podcast: A View From the Inside
Compliance Perspectives: Compliance Challenges in India
Nota Bene Episode 83: Fraud Enforcement and Policing COVID Relief: What Businesses Need to Know with Chuck Kreindler
COVID-19 Videocast Series – Episode 2: Conversations from Our Public Tech Company Virtual Situation Room
Podcast: Private Fund Regulatory Update: Post-U.S. Government Shutdown
Podcast: Credit Funds: What Managers Need to Know and Practical Tips to Avoid Insider Trading Risks
WORD OF THE DAY® – Big Boy Letter
The Insider Trading Cartoon Series, Vol. 15 -- United States v. Newman (Part 2)
The Insider Trading Cartoon Series, Vol. 13 -- The Barry Switzer Story
The Insider Trading Cartoon Series, Vol. 14 -- United States v. Newman (Part 1)
The Insider Trading Cartoon Series, Vol. XII -- The Innocent Intermediary
The Insider Trading Cartoon Series, Vol. XI -- Multi-level Tipping
Prediction markets are online platforms where people can bet on the outcome of future events with a “yes” or “no” answer, including contracts based on sports, popular culture and politics. These markets have exploded in...more
Both the Financial Industry Regulatory Authority ("FINRA") and the National Futures Association ("NFA") have implemented rules prohibiting the practice of "frontrunning." Criminal prosecutors and financial regulators have...more
Key Takeaways - Prediction markets are squarely in the DOJ, the SEC, and the Commodity Futures Trading Commission’s (CFTC) sights, so fraud and manipulation will be prosecuted, and CFTC rulemaking on event contracts is...more
On January 15, 2026, Letitia James, the New York attorney general (NY Attorney General), filed a complaint against Robert Kramer, the former CEO of Emergent BioSolutions Inc., alleging insider trading in violation of the...more
On 19 December 2025, the Financial Conduct Authority (FCA) imposed a fine of £309,843 on Mr. Russel Gerrity, an experienced petrophysical consultant, for engaging in insider dealing....more
Enforcement activity and guidance from 2025 under Chairman Paul Atkins provide important context for understanding where the SEC is focusing its attention in 2026. Regulators and practitioners highlighted these priorities at...more
Last month, the world watched two remarkable events unfold in quick succession: the U.S. operation that led to the capture of Nicolás Maduro and the Polymarket trader who turned a $400,000 profit by correctly predicting that...more
In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from January 2026. ...more
On January 15, 2026, the New York State Attorney General (NYAG) filed a civil suit against the former CEO of Emergent BioSolutions Inc. (Emergent), Robert G. Kramer, alleging that his sales of company shares pursuant to a...more
Welcome to the Corporate Briefing, where we review the latest developments in UK corporate law that you need to know about. In this month’s issue we discuss...more
This is the third in our 2026 Year in Preview series examining important trends in white collar law and investigations in the coming year. 2025 saw fundamental shifts in securities enforcement priorities in the first year of...more
In the early 2000s, then–New York Attorney General Eliot Spitzer earned the moniker “Sheriff of Wall Street” through an aggressive enforcement campaign targeting some of the financial industry’s most powerful institutions. ...more
When Paul Atkins assumed the role of Chairman of the US Securities and Exchange Commission (SEC) last April, we anticipated a significant transformation in the Commission’s enforcement strategy, as a leaner, more streamlined...more
On January 15, 2026, the Attorney General of the State of New York (NY A.G.) filed suit against Roger G. Kramer, the former CEO of Emergent BioSolutions, Inc., accusing him of insider trading for selling his shares in the...more
Shifts in SEC enforcement are typical with new presidential administrations, particularly with a change in the political party. But never have those shifts been as dramatic as those we witnessed in fiscal year 2025. Through...more
Hong Kong’s regulators are active, coordinated, and increasingly expectations‑driven. Businesses should be prepared for assertive use of statutory powers, higher standards on governance and documentation, and closer scrutiny...more
Over the last several months, there have been a number of reports about a perceived drop-off in enforcement activity by the U.S. Securities and Exchange Commission, including in the area of insider trading....more
On December 22, 2025, the U.S. Securities and Exchange Commission (SEC) filed a complaint against several defendants for their roles in market manipulation schemes involving two pharmaceutical companies, Olema...more
On January 15, 2026, the New York Attorney General (“NYAG”) filed a complaint against a former life-sciences manufacturing CEO alleging violations of New York’s Martin Act for trading material nonpublic information related to...more
In case there was any doubt, insider trading enforcement—including DOJ criminal and SEC civil charges—remains a priority to kick off the new year. Last week, the U.S. Attorney’s Office for the District of Massachusetts...more
The UK FCA has fined a capital markets adviser to an energy company £100,281 – and banned him from working in financial services – for insider dealing. The action illustrates the comparatively low threshold for what may...more
Financial reporting and disclosure enforcement is a perennial priority for the U.S. Securities and Exchange Commission (“SEC”), but the change in presidential administrations in January 2025 ushered in a potentially new...more
In this episode of Regulatory Oversight, host Stephen Piepgrass, who leads Troutman Pepper Locke's Regulatory Investigation Strategy and Enforcement (RISE) practice, is joined by partner Lu Reyes for a deep dive into the...more
Here’s the intro from this entry on Cooley’s “Securities Litigation + Enforcement” blog penned by Luke Cadigan, Tejal Shah, Elizabeth Skey, Samanta Kirby and Bingxin Wu: “When Paul Atkins became the new chairman of the...more
In this third installment of Season's Readings, we button up our winter jackets and examine the transformative Year of Enforcement that was 2025. The past year has been one of significant transition at the SEC, with new...more