News & Analysis as of

Whistleblowers SEC Examination Priorities

Goodwin

Jury Acquits Tesla and Musk of Securities Fraud for 2018 Tweets Regarding Going Private

Goodwin on

On February 3, 2023, in the matter In re Tesla Inc. Securities Litigation, Case No. 3:18-cv-04865, a California federal jury cleared Tesla, Inc. (Tesla), and CEO Elon Musk of claims that they committed securities fraud,...more

Oberheiden P.C.

SEC Exam Priorities for 2023

Oberheiden P.C. on

Find Out What Companies and Investment Firms Need to Know about the SEC’s Exam Priorities for 2023 - Each year, the U.S. Securities and Exchange Commission (SEC) publishes its annual examination priorities. This report...more

Association of Certified E-Discovery...

Weekly Trends Report – 1/2/2019 Insights

Insight into where e-discovery, information governance cybersecurity, and digital transformation are heading – who is doing what now or in the future, what works and what doesn’t, and what people wish they could do but can’t...more

Carlton Fields

Expect Focus - Volume IV, December 2017

Carlton Fields on

EXPECTFOCUS is a quarterly review of developments in the insurance and financial services industry, provided on a complimentary basis to clients and friends of Carlton Fields Jorden Burt, P.A. ...more

Morgan Lewis

2016 Year in Review: Select SEC and FINRA Developments and Enforcement Cases

Morgan Lewis on

Executive Summary - The Morgan Lewis Year in Review highlights key US Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement developments and...more

Proskauer - Corporate Defense and Disputes

SEC Staff Announces 2017 OCIE Examination Priorities

On January 12, 2017, the staff of the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) released its annual announcement on examination priorities in the coming calendar...more

Proskauer Rose LLP

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

Proskauer Rose LLP on

This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more

Proskauer Rose LLP

OCIE Staff to Examine Registered Advisers' Policies and Agreements for Whistleblower Rule Compliance

Proskauer Rose LLP on

On October 24, 2016, OCIE published a risk alert noting that the SEC exam staff intends to examine registrants' compliance with the Dodd-Frank Act's whistleblower provisions. The alert noted recent enforcement actions...more

Skadden, Arps, Slate, Meagher & Flom LLP

"Employment Flash - October 2016"

Spotlight on Whistleblower Protections - On October 24, 2016, the Securities and Exchange Commission (SEC) issued a “risk alert” regarding SEC registrants’ compliance with Rule 21 F-17, which implements Section 21F of...more

Ballard Spahr LLP

Investment Management Update - March 2016

Ballard Spahr LLP on

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. SEC, FINRA...more

Epstein Becker & Green

Five Employment Law Compliance Topics of Interest to Financial Services Industry Employers

Employers in the financial services industry are faced with an escalating number of employment law compliance challenges, but the news is not all bad. For example, although pleading standards for Sarbanes-Oxley Act (“SOX”)...more

Manatt, Phelps & Phillips, LLP

Corporate Investigations & White Collar Defense - October 2015

"Wherefore Art Thou Due Process?" Part III - Why it matters: It is time for another installment in our continuing "Wherefore Art Thou Due Process?" coverage into the ongoing constitutional challenges to the SEC's...more

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