More than a year ago the world fell victim to a global pandemic that would change life in ways that could never have been predicted. In the early stages of the pandemic, we published a White Paper directed at financial...more
The Situation: The Commodity Futures Trading Commission ("CFTC") has established a new unit dedicated to addressing climate risk in the financial system, providing yet another example of financial services regulators...more
The Situation: The U.S. Court of Appeals for the Tenth Circuit recently addressed the issue of whether the antifraud provisions of the federal securities laws apply extraterritorially in enforcement actions commenced by the...more
2/25/2019
/ Conduct and Effects Test ,
Corporate Counsel ,
Dodd-Frank ,
Enforcement Actions ,
Extraterritoriality Rules ,
Jurisdiction ,
Morrison v National Australia Bank ,
Ponzi Scheme ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations