In this edition of the newsletter, we discuss enforcement developments at the agencies in September 2024. The SEC filed 200 actions and the CFTC filed 16, against a combined total of 321 ...
The SEC announced settled enforcement actions against several victims of the SolarWinds hack, alleging that they downplayed the extent to which they were impacted by the intrusions. The a...
In its latest enforcement sweep with the help of data analytics, the SEC settled charges with 23 stockholders and two public companies for reporting failures under Sections 13 and 16 of t...
DOJ made changes to its Evaluation of Corporate Compliance Programs, the first since March 2023. The changes focus on the management of technology risk, including the use of artificial i...
Webinar
1.0 CA - General; NY - Professional Practice / Practice Management
We invite you to view our webinar in which Davis Polk lawyers discuss recent policy announcements by the Department of Justice (DOJ) to encourage individuals to disclose corporate miscond...
DOJ’s new pilot program that will reward whistleblowers for reporting certain corporate or financial misconduct to the DOJ contains a number of significant surprises, including who is e...
With the 2024 Olympics kicking off later this month in Paris, companies should be aware of potential heightened risk and scrutiny around hospitality events related to the Games.
A court rendered a mixed result in the SEC’s SolarWinds litigation. The court declined to dismiss the SEC’s claims that a website “Security Statement” overstated the strength of S...
In SEC v. Jarkesy, the Supreme Court held that the SEC must bring fraud claims seeking penalties in federal court instead of administrative proceedings because defendants are entitled to ...
The SEC expanded the scope of the Safeguards Rule, which already required broker-dealers, investment advisers and investment companies to have reasonably designed policies and procedures ...
