When announcing the much publicized $125 million fine against JP Morgan for violating recordkeeping rules, the U.S. Securities and Exchange Commission (“SEC”) Chair stated that financial institutions “did not act as if they...more
5/18/2023
/ Artificial Intelligence ,
CFTC ,
Department of Justice (DOJ) ,
Electronic Communications ,
Employees ,
Enforcement ,
Financial Institutions ,
Financial Services Industry ,
Fines ,
Investigations ,
Popular ,
Securities and Exchange Commission (SEC) ,
Written Communications
When a company discovers that a crime may have been committed by individuals within the company, or is alerted by the government of that possibility, the company will often hire an outside law firm to conduct an internal...more
10/3/2022
/ Attorney-Client Privilege ,
Cooperation ,
Corporate Counsel ,
Corporate Crimes ,
Corporate Governance ,
Department of Justice (DOJ) ,
Disclosure ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Government Investigations ,
Internal Investigations ,
Malfeasance ,
Privilege Waivers ,
Securities and Exchange Commission (SEC) ,
Work-Product Doctrine
The Securities and Exchange Commission (“SEC”) was established by the passage of the Securities and Exchange Act of 1934 following the stock market crash of 1929.sec The Act gave the newly formed SEC power to regulate the...more
3/25/2022
/ Capital Markets ,
Class Action ,
Climate Change ,
Disclosure Requirements ,
Elon Musk ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Financial Statements ,
Investors ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934