A novel insider trading case for trading the stock of a company that the trader did not work for and that was not the target in the M&A transaction has drawn attention for its possible im...
The SEC’s proposals include cooling-off periods for Rule 10b5-1 trading plans, public disclosure around Rule 10b5-1 trading plans, significant new disclosures for option grants and stoc...
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...
Updated in response to an increase in ransomware attacks against critical infrastructure, the revised advisory identifies new trends, typologies and indicators of ransomware payments and ...
The New York DFS issued new guidance regarding a covered entity’s reliance on an affiliate’s cybersecurity program. The guidance explains DFS’s view that, when a covered entity reli...
Personal Information Protection Law of China (PIPL) came into effect today, containing rules comprehensively regulating personal data processing activities across all industries in and ou...
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...
