News & Analysis as of

Risk Management Fraud Insider Trading

Secretariat

SEC Enforcement Trends for 2025 — Shadow Trading, Artificial Intelligence (AI), and Crypto

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2024 was a pivotal year for SEC enforcement as the Commission significantly ramped up its efforts, filing 583 enforcement actions and obtaining $8.2 billion in financial remedies, a record for the agency....more

Morrison & Foerster LLP

When Your Life Sciences Are on the Line: Securities Enforcement

Morrison Foerster partners Kate Driscoll and Nate Mendell, both former federal prosecutors and members of the firm’s Investigations + White Collar Defense Group, hosted the eighth episode of When Your Life Sciences Are on the...more

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for December 2024

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: •Insider trading charges against a professor overseeing...more

Saul Ewing LLP

Public Companies Quarterly Update (Q1 2024)

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Welcome to Saul Ewing’s Public Companies Quarterly Update series. Our intent is to, on a quarterly basis, highlight important legal developments of which we think public companies should be aware. This edition is related to...more

WilmerHale

Digital Assets Consultation Offers First Step In Regulation

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The International Organization of Securities Commissions, or IOSCO, published a consultation report in May titled "Policy Recommendations for Crypto and Digital Asset Markets." Originally published by Law360 - July 11,...more

Epiq

[Webinar] What is insider risk, and why do companies ignore it? - November 16th, 12:00 pm AEDT

Epiq on

What is insider risk? Managing and minimising risk in your organisation starts with understanding the types of risks in the modern workplace. Some risks are driven by external events and factors that are outside of direct...more

Epiq

[Webinar] What is insider risk, and why do companies ignore it? - October 7th, 11:30 am - 12:10 pm GMT

Epiq on

What is insider risk? Managing and minimising risk in your organisation starts with understanding the types of risks in the modern workplace. Some risks are driven by external events and factors that are outside of direct...more

BCLP

No Place Like Home: Heightened risks for companies due to Covid-19 and remote working arrangements

BCLP on

As the COVID-19 pandemic evolves so, too, does the threat of economic crime. Recent reports into fraud since the start of the pandemic highlight the extent of this threat but also confirm that the banking and finance industry...more

Dorsey & Whitney LLP

This Week In Securities Litigation

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The SEC prevailed on two summary judgment motions. One centered on a manipulation action. The other was against an attorney who facilitated a prime bank fraud. The Commission also filed: An action against UBS tied to its...more

Dorsey & Whitney LLP

This Week In Securities Litigation (Week ending June 6, 2014)

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The SEC had mixed results in court this week. A Manhattan jury returned a verdict against the agency in a high profile and long-running insider trading case where the agency had previously obtained favorable rulings from the...more

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