Morgan Lewis’s 15th annual 2020 Year in Review and a Look Forward provides a comprehensive overview and analysis of key 2020 US Securities and Exchange Commission (SEC) enforcement and examination developments, notable...more
3/12/2021
/ 10b5-1 Plans ,
Coronavirus/COVID-19 ,
Corporate Counsel ,
Disgorgement ,
Enforcement Guidance ,
Environmental Social & Governance (ESG) ,
Infectious Diseases ,
Regulation BI ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Self-Reporting ,
Settlement Agreements ,
Share Buybacks ,
Steering Committees ,
Whistleblowers ,
White Collar Crimes
Most media accounts suggest that the incoming Biden administration will usher in a more “aggressive” SEC enforcement posture, with renewed emphasis on investigating potential fraud and controls deficiencies at public...more
1/14/2021
/ Analytics ,
Coronavirus/COVID-19 ,
Corporate Governance ,
Disgorgement ,
Enforcement Actions ,
Infectious Diseases ,
Insider Trading ,
Public Disclosure ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Share Buybacks
Public companies should consider recent guidance from the US Securities and Exchange Commission, increased examination and enforcement activity at both federal and state levels, and possible shareholder activism, among other...more
In a recent keynote speech, Co-Director of the US Securities and Exchange Commission’s Division of Enforcement Steven Peikin made it clear that the Division has made coronavirus (COVID-19) related enforcement matters a top...more
5/15/2020
/ Accounting Fraud ,
Coronavirus/COVID-19 ,
Enforcement Actions ,
Failure To Disclose ,
Government Investigations ,
Insider Trading ,
Securities and Exchange Commission (SEC) ,
Share Redemption ,
Steering Committees ,
Trading Suspension ,
Vaccinations ,
Whistleblowers
Recent announcements from the US Securities and Exchange Commission make it clear that, although it will not be business as usual, the agency will ably navigate the coronavirus (COVID-19) crisis and its work will move...more