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Strategic Enforcement Plan › Securities and Exchange Commission (SEC)

The Strategic Enforcement Plan (SEP) is a strategy developed by the United States Equal Employment Opportunity Commission which 1) establishes priorities for the EEOC and 2) integrates the EEOC's private and... more +
The Strategic Enforcement Plan (SEP) is a strategy developed by the United States Equal Employment Opportunity Commission which 1) establishes priorities for the EEOC and 2) integrates the EEOC's private and public enforcement efforts. The purpose of the SEP is to focus the EEOC's resources to best address discriminatory practices in the workplace. less -
Eversheds Sutherland (US) LLP

“Luke, I am your father.” (Or not.) Collective False Memory and SEC and FINRA Enforcement Issues from November and December 2020

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Often, there are quotes, spellings, symbols, events, or experiences that many of us “know” occurred, but which did not actually happen. This phenomenon is known as the “Mandela Effect,” or “collective false memory.” Its name...more

Akerman LLP

SEC Division of Examinations Calls Out Compliance Weaknesses and Spells Out Expectations Moving into 2021

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The SEC's Division of Examinations recently issued a Risk Alert with observations on investment adviser compliance programs, noting numerous deficiencies and weaknesses it has encountered....more

Latham & Watkins LLP

DOJ’s Evolving Framework for Cryptocurrency Enforcement

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US Department of Justice’s sprawling report reveals regulatory enforcement priorities for cryptocurrencies and highlights multi-agency cooperation. On October 8, 2020, the US Attorney General’s Cyber-Digital Task Force of...more

Latham & Watkins LLP

Current Developments in the US: White-Collar Enforcement and trends for 2020

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In the following article we will discuss the current developments and trends for 2020 and outline what EU-based companies with a US presence should look out for in 2020 regarding US white-collar and compliance trends in the...more

Holland & Knight LLP

Leading Federal Officials Offer Advice on How Corporations Can Minimize Law Enforcement Risk

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Holland & Knight, the Florida Chamber of Commerce and the Miami-Dade Beacon Council hosted the Second Annual Florida Enforcement Summit on Nov. 20, 2019. The half-day program focused on informing the business community how to...more

Sheppard Mullin Richter & Hampton LLP

Regulatory Moves Show Financial Watchdogs Working Smarter, if Not Harder

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To gain insight into where the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) have been focusing their oversight and what their priorities will be in 2020, look no further than...more

Katten Muchin Rosenman LLP

Financial Markets and Funds - A New Captain at the Helm: The CFTC’s 16-Month Regulatory and Enforcement Agenda Under Chairman...

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Katten recently hosted the "CFTC Regulatory and Enforcement Agenda" webinar. Financial Markets and Funds partners Kevin Foley, Christian Kemnitz and Carl Kennedy, and special counsel Gary DeWaal, discussed the potential CFTC...more

Eversheds Sutherland (US) LLP

Cryptocurrency enforcement on the upswing - Texas cryptocurrency issuers agree to pay over $10 million to the SEC

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Along with other regulators, the Securities and Exchange Commission (the “SEC”) has been signaling its intention to pursue those in the cryptocurrency sphere that it believes are capitalizing on the excitement and novelty of...more

BakerHostetler

[Webinar] Cross-Border Regulation and Enforcement: Developments and Trends You Need to Know for 2019 - May 1st, 12:00pm ET

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Join BakerHostetler’s White Collar, Investigations and Securities Enforcement and Litigation team for a complimentary webinar on trends and predictions for 2019 in the cross-border government investigations and enforcement...more

Latham & Watkins LLP

CFTC Enters the Market for Anti-Corruption Enforcement

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New enforcement advisory encourages reporting of foreign corrupt practices that the agency intends to pursue under the Commodity Exchange Act. On March 6, 2019, the Division of Enforcement (Division) of the US Commodity...more

Pillsbury Winthrop Shaw Pittman LLP

Private Funds Litigation/Regulatory Year in Review and 2019 Outlook

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Although the SEC did not bring as many headline enforcement actions against private funds as in years past, it continues to devote substantial resources and attention on investment advisers. The SEC will maintain its...more

WilmerHale

Foreign Corrupt Practices Act Alert: Global Anti-Bribery Year-in-Review: 2018 Developments and Predictions for 2019

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Despite predictions of a slow-down in enforcement under the Trump administration—and indications that enforcement in some areas has decreased in the past year1—2018 was yet again an active year for FCPA enforcement. The year...more

WilmerHale

Global Anti-Bribery Year-in-Review: 2017 Developments and Predictions for 2018

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This past year marked the 40th anniversary of the U.S. Foreign Corrupt Practices Act (“FCPA”). Since its enactment in 1977, the U.S. Department of Justice (the “DOJ”) has brought approximately 300 FCPA enforcement actions,...more

Katten Muchin Rosenman LLP

Bridging the Week - November 2017 #2

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Trading Firm and Broker Affiliate Settle CFTC Enforcement Action for Trading Firm’s Alleged EFRP Transactions With Insufficiently Correlated Futures and Physical Legs: FCStone Merchant Services LLC and INTL FCStone Financial...more

Fox Rothschild LLP

Compliance Issues The SEC Is Seeing

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The Office of Compliance Inspections and Examinations (or OCIE) recently issued a Risk Alert that identified the five most frequent compliance topics that arising from OCIE examinations. These compliance topics include the...more

Dorsey & Whitney LLP

Common Compliance Issues for Investment Advisers

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On February 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert listing the five most frequent compliance topics identified on investment adviser examinations completed within...more

Epstein Becker & Green

SEC Finds Certain Separation Agreement Provisions Unlawful Under Dodd-Frank Whistleblower Rule

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Twice in the past two weeks, the Securities and Exchange Commission (“SEC” or “Commission”) issued a cease-and-desist order settling proceedings against companies for using confidentiality and waiver of claims provisions in...more

Akin Gump Strauss Hauer & Feld LLP

SEC Targets Broker-Dealer Implications of Transaction-Based Deal Fees

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The Securities and Exchange Commission (SEC) brought and settled an enforcement action against Blackstreet Capital Management, LLC, a registered investment adviser to private equity funds, and its principal for, among other...more

Fenwick & West LLP

Securities Litigation and Enforcement Newsletter

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SEC Enforcement Trends for 2016 - Welcome to the latest edition of Fenwick and West’s Securities Litigation and Enforcement Newsletter. In this newsletter, we look at SEC enforcement trends for 2016, starting with a...more

Dorsey & Whitney LLP

SEC Sanctions Another Entity For Not Following Its Procedures

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A continuing focus of SEC enforcement is compliance by entities with their disclosed procedures. The Commission’s latest action in this regard resulted in the payment of $6 million by a Credit Rating Agency that not only...more

McGuireWoods LLP

SEC Enforcement Continues to Pursue Hedge Fund Advisers

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The SEC continues to pursue enforcement actions against hedge fund managers for alleged self-dealing, undisclosed conflicts of interest, and valuation issues. As we’ve previously reported (here and here), the SEC has stepped...more

Latham & Watkins LLP

Fees: Increasing Requirements for Disclosure Continue

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Outside money managers are facing increasing scrutiny about the value they provide, particularly since the 2008 financial crisis. In a previous publication from September 2014, we wrote that the US Securities and Exchange...more

Broker-Dealer Compliance + Regulation

OCIE Launches Sweep Examination of BD/IA Retirement Investments

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The SEC’s Office of Compliance Inspections and Examinations (OCIE) is launching a sweep examination that will target the retirement-based savings activities of broker-dealers and investment advisers. The multi-year...more

The Volkov Law Group

Gifts, Meals and Prosecution: BHP Billiton’s Settlement

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The SEC is on a mission – companies that engage in egregious payment schemes for gifts, hospitality and travel are going to get prosecuted for civil FCPA violations. Recent SEC enforcement actions against companies continue,...more

K&L Gates LLP

Heard at the SIFMA Conference

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Recently, partners from K&L Gates’ Government Enforcement, Broker-Dealer and Investment Management practice groups attended the Securities Industry and Financial Markets Association’s (“SIFMA”) Compliance and Legal Society...more

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