News & Analysis as of

Securities and Exchange Commission (SEC) Enforcement

Proskauer - Regulatory & Compliance

SEC  “Greenwashing” Enforcement  Case Against Public Company

Last week, the SEC publicly announced a settled enforcement case against Keurig Dr. Pepper.  The case focused on the company’s disclosure in its annual reports on Form 10-K on whether its K-Cup pods could (or would) be...more

Mintz

SEC Disbands ESG Task Force

Mintz on

It has been reported that the Securities & Exchange Commission has disbanded its Climate & ESG Task Force. This same task force had been launched with great fanfare in March 2021, at the beginning of the Biden...more

Paul Hastings LLP

SEC Decides Not To Seek Supreme Court Review of Decision Vacating Private Fund Rules

Paul Hastings LLP on

The Securities and Exchange Commission (“SEC”) has decided not to petition the U.S. Supreme Court for a writ of certiorari to review the U.S. Court of Appeals for the Fifth Circuit’s decision to vacate a controversial package...more

Conyers

Shifting Sands: The Future of Offshore Regulatory Disputes (Part 1)

Conyers on

As an evolving area of commercial disputes in the Cayman Islands, global enforcement trends provide us with valuable insight into the types of regulatory proceedings on the horizon for offshore jurisdictions. In this first...more

Skadden, Arps, Slate, Meagher & Flom LLP

Hong Kong Regulatory Update - August 2024

查看中文 This update primarily provides an overview of key regulatory developments in the second quarter of 2024 relevant to companies listed, or planning to list, on The Stock Exchange of Hong Kong Limited (HKEx) and their...more

Flaster Greenberg PC

Chevron Deference Decisions and Its Implications on Businesses

Flaster Greenberg PC on

A win for business. The Supreme Court ends Chevron Deference in a spate of recent decisions limiting administrative authority and assisting regulated parties in challenging agency rulemaking. Loper Bright and Relentless-...more

K&L Gates LLP

Shedding Light on "Shadow Trading" and What Companies Should Do Now

K&L Gates LLP on

The concept of insider trading under the federal securities laws has evolved over the years, at times in unexpected ways. Current insider trading standards have developed through case law and administrative actions applying...more

Morrison & Foerster LLP

Significant Investment Adviser Regulatory Developments in 2024

Alongside the rapid pace of Securities and Exchange Commission (SEC) rulemaking, the SEC and its Staff continue to shape regulatory obligations for investment advisers in 2024 through guidance, alerts, enforcement actions,...more

Crunched Credit

Regulatory Contagion

Crunched Credit on

Last year, I wrote a commentary entitled Contagion.  That commentary was inspired by the early days of the meltdown of the crypto currency market (long before SBF made the whole space way more notorious with a whiff of...more

Foley & Lardner LLP

Down But Not Out: Federal Court Curbs SEC Cybersecurity Enforcement Authority

Foley & Lardner LLP on

In a stinging rebuke of its attempted cybersecurity-related enforcement against a public company, a federal judge recently dismissed most of the charges that the U.S. Securities and Exchange Commission (SEC) had filed against...more

Morrison & Foerster LLP

MoFo’s State + Local Government Enforcement Newsletter - August 2024

Morrison Foerster’s State and Local Government Task Force is pleased to provide our bimonthly newsletter summarizing some of the most important and interesting developments from state attorneys general across the country and...more

Mintz

SEC Argues That Climate Disclosure Regulation Survives Demise of the Chevron Doctrine

Mintz on

Earlier this year, the SEC issued its long-awaited regulation concerning mandatory climate disclosures.  As expected, this climate disclosure rule was immediately challenged in the courts by, among others, conservative states...more

Fenwick & West LLP

Disclosure Trend: Risk Factors Post-Chevron

Fenwick & West LLP on

Life sciences companies are adding risk factor language in response to the U.S. Supreme Court overturning the Chevron Doctrine. As you may recall, the U.S. Supreme Court recently overturned the Chevron Doctrine....more

BakerHostetler

The First Public Meeting of the Strike Force on Unfair and Illegal Pricing: What Happened and What’s Next

BakerHostetler on

On August 1, the Federal Trade Commission (FTC) and Department of Justice (DOJ) virtually cohosted the first public meeting of the multiagency Strike Force on Unfair and Illegal Pricing (Strike Force), focused on antitrust...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

CFPB Warns Employee NDAs, Confidentiality Agreements May Violate Whistleblower Laws

On July 24, 2024, the Consumer Financial Protection Bureau (CFPB) issued guidance putting financial regulators and employers on notice that requiring employees to sign broad confidentiality or nondisclosure agreements that...more

Seward & Kissel LLP

Employment Litigation Roundup: July 2024

Seward & Kissel LLP on

Arbitration agreement deemed inapplicable where plaintiff plausibly alleged sexual harassment claim - The Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act of 2021 ( “EFAA”) amended the Federal...more

Akin Gump Strauss Hauer & Feld LLP

The Top 10 Takeaways for Businesses from the Supreme Court’s Three Big Administrative Law Decisions in 2024

Now that the dust has settled following the Supreme Court’s overhaul of administrative law through three late-term decisions, Akin litigators and policy advisors offer the most significant takeaways for businesses and...more

Hinch Newman LLP

Federal Trade Commission and Department of Justice Joint Task Force News

Hinch Newman LLP on

The Federal Trade Commission and the Department of Justice possess both overlapping and distinct authority to challenge anti-competitive practices under federal law. The FTC enforces, without limitation, the FTC Act and the...more

Akin Gump Strauss Hauer & Feld LLP

CryptoLink - June 2024 Updates

CryptoLink is a compilation of news stories published by outside organizations. Akin aggregates the stories, but the information contained in them does not necessarily represent the beliefs or opinions of the firm. Akin's...more

A&O Shearman

Judge Dismisses Most Of SEC’s Suit Against An IT Management Software Company Over Cybersecurity Disclosures

A&O Shearman on

On July 18, 2024, U.S. District Judge Paul Engelmayer of the U.S. District Court for the Southern District of New York issued a comprehensive 107-page opinion that may have significant implications for the Securities and...more

A&O Shearman

FINRA Faces Post- Jarkesy Challenge to its Enforcement Program

A&O Shearman on

The Financial Industry Regulatory Authority (“FINRA”) is now facing a second litigation challenging the constitutionality of its use of disciplinary tribunals to impose sanctions on FINRA members. A broker filed a complaint...more

Alston & Bird

CFTC Commissioner Warns That CCOs May Face Personal Liability

Alston & Bird on

Our Investment Funds Group reviews the implications of a Commodity Futures Trading Commission (CFTC) policy targeting chief compliance officers (CCOs) as individuals if their companies’ compliance programs fail....more

Freiberger Haber LLP

Enforcement News: SEC Charges Bank With Misleading Investors About The Strength Of Its BSA/AML Compliance Program And Its...

Freiberger Haber LLP on

The Currency and Foreign Transactions Reporting Act, also known as the “BSA,” enacted in 1970, established requirements for record-keeping and reporting by banks and other financial institutions. The BSA is designed to, among...more

Arnall Golden Gregory LLP

Q&A With Allison Raley: Defending Against Government Investigations

Q: What are the primary areas of focus in your practice related to government investigations? A: My practice primarily focuses on defense against enforcement actions brought by regulatory bodies such as the Office of Foreign...more

NAVEX

The Supreme Court Made Its Rulings; Corporate Compliance Needs March On

NAVEX on

At the end of June, the U.S. Supreme Court issued major decisions on the enforcement power of the Securities and Exchange Commission, what does or doesn’t qualify as a bribe of government officials, and on federal judges’...more

761 Results
 / 
View per page
Page: of 31

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide