In a recent speech, PADAG John Carlin previewed DOJ’s refocused corporate enforcement efforts and priorities. He addressed a variety of topics, including an upcoming review and revision...
An enforcement action against an alternative data provider for misrepresenting its practices offers lessons both for trading firms that use alternative data and public companies that sell...
The SEC filed three enforcement actions against investment advisers and broker-dealers for cybersecurity deficiencies after the firms experienced incidents that exposed customer and clien...
The SEC filed an enforcement action against a company for disclosing the risk that it “could” have a data privacy breach when it knew it already had experienced a breach. The action a...
The CFTC and FinCEN recently announced a settlement with BitMEX for $100 million to resolve an enforcement action related to the exchange’s failure to register as a futures commission m...
FinCEN recently issued the much-anticipated national AML/CFT priorities and announced its intention to implement a no-action letter process to complement to its current regulatory guidanc...
The SEC filed an enforcement action involving a public company’s cybersecurity disclosure. The action highlights the need for executives responsible for SEC reporting to be informed pro...
The House of Representatives has passed a bill on a bipartisan basis that would be the first statute directly banning insider trading in the securities markets. The bill largely would pr...
The Securities and Exchange Commission’s recent case against a registered broker-dealer for not filing Suspicious Activity Reports (SARs) reinforces the SEC’s focus on anti-money laun...
The U.S. federal banking agencies have issued an interagency statement addressing industry questions on model risk management and AML compliance. Specifically, the statement clarifies th...
