Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights July 5, 2018 Client Update SEC Issues Sanctions for Inadequate Perk Disclosure On July 2, 2018, the SEC issued an order criticizing an issuer’s disclosure of executive perquisites and requiring the i... July 2, 2018 Client Update New York’s Highest Court Holds That Three-Year Statute of Limitations Applies to Martin Act Claims On June 12, 2018, the New York Court of Appeals overruled longstanding Appellate Division precedent and held that fraud cl... June 25, 2018 Client Update Supreme Court Holds that SEC Administrative Law Judges Have Been Unconstitutionally Appointed in Decision that is Likely to Have Far-Reaching Impact The Supreme Court’s opinion in Lucia v. SEC, holding that SEC ALJs qualify as Officers of the United States under the Co... May 11, 2018 Client Update Deputy Attorney General Rosenstein Announces New Policy to Avoid “Piling On” in Corporate Enforcement Actions On May 9, 2018, in remarks to the New York City Bar Association’s Seventh Annual White Collar Crime Institute, Deputy At... April 27, 2018 Client Update SEC Pursues Compliance Officers at Broker-Dealer for Aiding and Abetting AML Violations On March 28, 2018, the Securities and Exchange Commission (“SEC”) announced settlements with Aegis, Inc. (“Aegis”)... April 26, 2018 Client Update With $35 Million Fine, SEC Shows Late Cyberbreach Disclosure Can Result in Enforcement Yahoo! Order Is SEC’s First Cyber-Disclosure Enforcement Action On April 24, the Securities and Exchange Commission cha... April 17, 2018 Client Update The CONSENT Act and Renewed Congressional Data Privacy Interest As the march of highly-publicized consumer data breaches and privacy incidents continues, congressional interest in data p... March 15, 2018 Client Update SEC Announces Self-Reporting Initiative for Rule 12b-1 Fee Disclosures Enforcement Division “Share Class Selection Disclosure Initiative” offers “favorable” settlement terms to advisers... February 27, 2018 Client Update Supreme Court Rules that Dodd-Frank Whistleblower Protections Do Not Extend to Internal Reporting On February 21, 2018, in Digital Realty Trust, Inc. v. Somers, [1] the Supreme Court held that the Dodd-Frank Act’s whis... February 23, 2018 Client Update Latest U.S. Sanctions Developments Show Focus on Mainland China and Hong Kong The U.S. government is sending a series of signals that it intends to focus on Chinese banks and corporate entities as pot... Load More
July 5, 2018 Client Update SEC Issues Sanctions for Inadequate Perk Disclosure On July 2, 2018, the SEC issued an order criticizing an issuer’s disclosure of executive perquisites and requiring the i...
July 2, 2018 Client Update New York’s Highest Court Holds That Three-Year Statute of Limitations Applies to Martin Act Claims On June 12, 2018, the New York Court of Appeals overruled longstanding Appellate Division precedent and held that fraud cl...
June 25, 2018 Client Update Supreme Court Holds that SEC Administrative Law Judges Have Been Unconstitutionally Appointed in Decision that is Likely to Have Far-Reaching Impact The Supreme Court’s opinion in Lucia v. SEC, holding that SEC ALJs qualify as Officers of the United States under the Co...
May 11, 2018 Client Update Deputy Attorney General Rosenstein Announces New Policy to Avoid “Piling On” in Corporate Enforcement Actions On May 9, 2018, in remarks to the New York City Bar Association’s Seventh Annual White Collar Crime Institute, Deputy At...
April 27, 2018 Client Update SEC Pursues Compliance Officers at Broker-Dealer for Aiding and Abetting AML Violations On March 28, 2018, the Securities and Exchange Commission (“SEC”) announced settlements with Aegis, Inc. (“Aegis”)...
April 26, 2018 Client Update With $35 Million Fine, SEC Shows Late Cyberbreach Disclosure Can Result in Enforcement Yahoo! Order Is SEC’s First Cyber-Disclosure Enforcement Action On April 24, the Securities and Exchange Commission cha...
April 17, 2018 Client Update The CONSENT Act and Renewed Congressional Data Privacy Interest As the march of highly-publicized consumer data breaches and privacy incidents continues, congressional interest in data p...
March 15, 2018 Client Update SEC Announces Self-Reporting Initiative for Rule 12b-1 Fee Disclosures Enforcement Division “Share Class Selection Disclosure Initiative” offers “favorable” settlement terms to advisers...
February 27, 2018 Client Update Supreme Court Rules that Dodd-Frank Whistleblower Protections Do Not Extend to Internal Reporting On February 21, 2018, in Digital Realty Trust, Inc. v. Somers, [1] the Supreme Court held that the Dodd-Frank Act’s whis...
February 23, 2018 Client Update Latest U.S. Sanctions Developments Show Focus on Mainland China and Hong Kong The U.S. government is sending a series of signals that it intends to focus on Chinese banks and corporate entities as pot...