On November 2, the Securities and Exchange Commission’s Division of Enforcement (the Division) published its 2020 Annual Report (the Report), which details the Division’s fiscal year (FY) ending September 30, 2020,...more
11/10/2020
/ Broker-Dealer ,
Coronavirus/COVID-19 ,
Disgorgement ,
Enforcement ,
Enforcement Actions ,
Financial Fraud ,
Investment Adviser ,
OCIE ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblowers
As the COVID-19 crisis continues to unfold, businesses nationwide are struggling to meet their existing contractual obligations. While companies may attempt to rely on force majeure clauses to exempt performance, they are...more
While the new coronavirus disease (COVID-19) outbreak has already caused unprecedented and far-reaching negative consequences, foremost for many businesses is the difficulty or impossibility of carrying out contractual...more