In 2024, challenges to environmental, social, and governance (ESG) and sustainability initiatives in the United States proliferated internationally. This proved true, even as Europe promoted additional ESG and climate/social...more
2/4/2025
/ Antitrust Provisions ,
Clean Air Act ,
Climate Change ,
Compliance ,
Congressional Investigations & Hearings ,
Corporate Governance ,
Disclosure Requirements ,
Diversity ,
Environmental Social & Governance (ESG) ,
EU ,
Institutional Investors ,
Investment Funds ,
Investment Management ,
Private Equity ,
Reporting Requirements ,
Securities Litigation ,
Sustainability ,
Sustainable Finance
Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, SEC Chair Gary Gensler announced his imminent departure in January 2025...more
12/23/2024
/ American Depository Receipts (ADRs) ,
Anti-Fraud Provisions ,
Bribery ,
Broker-Dealer ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Foreign Corrupt Practices Act (FCPA) ,
Gambling ,
Green Energy ,
Investment Advisers Act of 1940 ,
Investors ,
Japan ,
Misleading Impressions ,
Misleading Statements ,
Renewable Energy ,
Securities and Exchange Commission (SEC) ,
Suspicious Activity Reports (SARs)
Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine:
•Accounting fraud charges for allegedly concealing costs;...more
11/29/2024
/ Accounting Fraud ,
Aerospace ,
Artificial Intelligence ,
Bribery ,
Civil Monetary Penalty ,
Cryptocurrency ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
ETFs ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Greenwashing ,
Misleading Statements ,
Popular ,
Securities and Exchange Commission (SEC) ,
Unregistered Brokers
Given the recent news about President-Elect Trump’s cabinet appointments , it is a safe bet that the SEC Division of Enforcement’s priorities will change under the new administration. Under President Biden, SEC Chair Gary...more
11/15/2024
/ Artificial Intelligence ,
Board of Governors ,
Corner Post Inc v Board of Governors of the Federal Reserve System ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Insider Trading ,
Loper Bright Enterprises v Raimondo ,
Securities and Exchange Commission (SEC) ,
Share Buybacks ,
Trump Administration
Each month, we publish a roundup of the most important SEC enforcement developments for busy in house lawyers and compliance professionals. This month included the SEC’s fiscal year end and a large number of enforcement...more
10/25/2024
/ Bribery ,
Cryptocurrency ,
Digital Media ,
Disclosure Requirements ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Foreign Corrupt Practices Act (FCPA) ,
Form 10-K ,
John Deere ,
MNPI ,
Political Corruption ,
Regulation FD ,
Scams ,
Securities and Exchange Commission (SEC) ,
Social Media
On March 18, 2024, the SEC announced—in videos posted on YouTube and Twitter—regulatory actions against two investment advisers for “AI washing,” a practice defined by the SEC as “making false artificial intelligence-related...more
3/21/2024
/ Anti-Fraud Provisions ,
Artificial Intelligence ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
NASAA ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
SIFMA