The Biden administration issued the first United States Strategy on Countering Corruption on December 6, 2021, as directed in President Biden’s June 3, 2021, National Security Study Mem...
On Thursday, October 28, 2021, Deputy Attorney General Lisa Monaco announced significant changes to the DOJ’s corporate enforcement program during her speech at the ABA’s National Insti...
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...
