On June 27, 2024, in SEC v. Jarkesy, the Supreme Court of the United States held that a respondent to a U.S. Securities and Exchange Commission (SEC) securities fraud action seeking civil monetary penalties is entitled to a...more
The U.S. Department of Justice (DOJ) announced significant new guidance on March 3, 2023, regarding the use of personal devices and the retention of corporate communications. The DOJ’s concern regarding the use of personal...more
3/17/2023
/ Corporate Communications ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Instant Messaging Apps ,
Investigations ,
Mobile Apps ,
Mobile Devices ,
New Guidance ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Third-Party ,
White Collar Crimes
The U.S. Department of Justice (DOJ) recently released new guidance announcing several policy changes to further strengthen and clarify its approach to prosecuting corporate crime. The guidance, released through a memorandum...more
11/29/2022
/ Broker-Dealer ,
CFTC ,
Data Privacy ,
Department of Justice (DOJ) ,
Electronic Communications ,
FinTech ,
Instant Messaging Apps ,
Investment Companies ,
Mobile Apps ,
Mobile Devices ,
New Guidance ,
Policies and Procedures ,
Publicly-Traded Companies ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Third-Party
U.S. Securities and Exchange Commission (SEC) Chair Gary Gensler outlined a vigorous enforcement approach in his keynote remarks at the annual Securities Enforcement Forum. In a clear reference to cryptocurrencies and tokens,...more
11/9/2021
/ Capital Markets ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Foreign Corrupt Practices Act (FCPA) ,
Regulatory Mandates ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs) ,
Technology Sector ,
Token Sales