Emily Renshaw

Morgan Lewis

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Latest Posts › Environmental Social & Governance (ESG)

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Securities Enforcement Roundup – November 2024

IIn this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from November 2024. In November 2024: The US Court of Appeals for the DC Circuit issued a decision...more

12/6/2024 / Enforcement Actions , Environmental Social & Governance (ESG) , Financial Industry Regulatory Authority (FINRA) , FinCEN , Securities and Exchange Commission (SEC) , Suspicious Activity Reports (SARs)

Securities Enforcement Roundup – September 2024

In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments and cases from September 2024. In September 2024 (the last month of the US Securities and Exchange Commission’s...more

10/9/2024 / Broker-Dealer , Corporate Counsel , Enforcement Actions , Environmental Social & Governance (ESG) , Regulation Best Interest , Securities and Exchange Commission (SEC) , Securities Violations , Whistleblower Protection Policies , Whistleblowers

Current Developments in SEC Enforcement for Public Companies

The US Securities and Exchange Commission (SEC) continued its significant focus on public companies in 2022 with its enforcement and rulemaking programs. This heightened level of attention will likely continue as the SEC...more

6/5/2023 / Corporate Counsel , Disclosure Requirements , Disgorgement , Environmental Social & Governance (ESG) , Proposed Rules , Publicly-Traded Companies , Securities and Exchange Commission (SEC)

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