This is the fourth in our 2025 Year in Preview series examining important trends in white collar law and investigations in the coming year. We will be posting further installments in the series throughout the next several...more
2/20/2025
/ Artificial Intelligence ,
Climate Change ,
Cryptocurrency ,
Disclosure Requirements ,
Enforcement Actions ,
Insider Trading ,
Loper Bright Enterprises v Raimondo ,
Recordkeeping Requirements ,
Regulatory Reform ,
SCOTUS ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Technology Sector ,
Trump Administration
The government had another busy year in 2023, investigating and prosecuting healthcare fraud cases on multiple fronts. Contending with the enormous healthcare crises of the now-concluded COVID-19 pandemic and the ongoing...more
7/3/2024
/ Anti-Corruption ,
BlackRock ,
Congressional Investigations & Hearings ,
Coronavirus/COVID-19 ,
Department of Justice (DOJ) ,
Educational Institutions ,
Enforcement ,
Enforcement Actions ,
Export Controls ,
False Claims Act (FCA) ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Healthcare Fraud ,
Sanctions ,
Securities and Exchange Commission (SEC) ,
Tennessee
This is the fourth in our 2024 Year in Preview series examining important trends in white collar law and investigations in the coming year. We will be posting further installments in the series throughout the next several...more
2/27/2024
/ Board of Directors ,
Corporate Counsel ,
Corporate Governance ,
Cybersecurity ,
Disclosure Requirements ,
Enforcement Actions ,
Final Rules ,
Insider Trading ,
Popular ,
Publicly-Traded Companies ,
Recordkeeping Requirements ,
Regulatory Agenda ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation ,
Shareholders ,
Special Purpose Acquisition Companies (SPACs) ,
White Collar Crimes
Takeaways:
The SEC’s Division of Enforcement set record-highs in total money relief ordered and total civil penalties assessed in fiscal year 2022....more
This is the sixth post in this year’s series examining important trends in white collar law and investigations. Our previous post discussed trends in sanctions & export controls enforcement. Up next: trends in False Claims...more
3/1/2022
/ Cybersecurity ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
False Claims Act (FCA) ,
Popular ,
Private Funds ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs) ,
Whistleblowers
Editors’ Note: With the advent of the Biden presidency, we invite you to join us as we examine important trends in white collar law and investigations. Our first entry takes a closer look at SEC enforcement. Up next: a review...more
3/11/2021
/ Biden Administration ,
CFTC ,
Corporate Counsel ,
Cryptocurrency ,
Disclosure ,
Disgorgement ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Financial Reporting ,
Foreign Corrupt Practices Act (FCPA) ,
Insider Trading ,
Market Manipulation ,
Private Funds ,
Regulation BI ,
Securities and Exchange Commission (SEC) ,
Whistleblowers
On January 11, 2021, the U.S. Supreme Court vacated the 2019 decision of the U.S. Court of Appeals for the Second Circuit in United States v. Blaszczak, which substantially broadened the scope of criminal insider trading...more
1/25/2021
/ Appeals ,
Bridgegate ,
Carpenter v US ,
Centers for Medicare & Medicaid Services (CMS) ,
Department of Justice (DOJ) ,
Dirks v SEC ,
Employees ,
Hedge Funds ,
Insider Trading ,
Investigations ,
Kelly v United States ,
Personal Benefit ,
Remand ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Tippees ,
White Collar Crimes
The recently-reported sales of stock by several U.S. Senators following private briefings on the COVID-19 pandemic, apparently allowing them to avoid significant losses before the markets plummeted, have focused attention on...more
Editors’ Note: This is the first in our start-of-year series examining important trends in white collar law and investigations in the coming year. Up next: a look at trends in health care enforcement. Look for additional...more
1/6/2020
/ Administrative Authority ,
Broker-Dealer ,
Cyber Threats ,
Cybersecurity ,
Data Breach ,
Data Security ,
Digital Assets ,
Disgorgement ,
Enforcement Actions ,
Individual Accountability ,
Initial Coin Offering (ICOs) ,
Investment Adviser ,
Investors ,
Popular ,
Publicly-Traded Companies ,
Regulatory Authority ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Violations ,
Token Sales ,
White Collar Crimes
Takeaways for Companies, Investment Advisers and Broker-Dealers -
On November 15, 2019, the SEC’s Office of the Whistleblower (“OWB”) issued its annual report for fiscal year 2019. The report contains some important details...more
December 9th, 2019, the full House of Representatives approved H.R. 2534, otherwise known as the Insider Trading Prohibition Act. If passed by the Senate and signed by the President, this legislation would mark an important...more