The week of June 15, 2015 saw two of the first publicly announced enforcement actions brought by the SEC and CFTC to enforce security-based swap and swap regulatory requirements under Tit...
The SEC, which has recently been investigating workplace agreements out of concern that they may impede whistleblowing activity protected by the Dodd-Frank Act, announced yesterday its fi...
On December 10, 2014, the U.S. Court of Appeals for the Second Circuit held that to obtain an insider trading conviction against a tippee, the Government must prove that the tippee knew b...
The United States Court of Appeals for the Second Circuit issued its long-awaited decision today on the appeal from Judge Jed S. Rakoff’s rejection in 2011 of the consent settlement in ...
The U.S. Court of Appeals for the Eleventh Circuit has defined, for the first time by a federal appellate court, a key statutory term in the U.S. Foreign Corrupt Practices Act (“FCPA”...
Continuing a flurry of recent enforcement activity under the U.S. Foreign Corrupt Practices Act (“FCPA”), the U.S. Department of Justice (“DOJ”) has brought criminal charges again...
On March 6, the United States District Court for the District of Columbia granted a motion to compel the production of documents arising from defendants’ internal compliance investigati...
As the fiscal year comes to a close—even while the Securities and Exchange Commission, amidst the government shutdown, continues to fund its operations through a carryover balance from ...
In Gabelli v. Securities and Exchange Commission, No. 11-1274, the United States Supreme Court unanimously concluded that the five-year statute of limitations applicable to actions brough...
The Department of Justice (DOJ) and Securities and Exchange Commission (SEC) have released new guidance on the criminal and civil enforcement provisions of the Foreign Corrupt Practices A...
