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 the following matters:
• An SEC settlement with an ex-CEO...more
8/1/2025
/ CEOs ,
Corporate Counsel ,
Department of Justice (DOJ) ,
Elder Abuse ,
Enforcement ,
Fraud ,
Hedge Funds ,
Investment Adviser ,
Investors ,
Misrepresentation ,
Ponzi Scheme ,
Portfolio Companies ,
Securities and Exchange Commission (SEC) ,
Unregistered Securities
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)
On January 9, a hacker posted from the Securities and Exchange Commission’s (SEC) official X account. The post announced that the SEC had officially approved exchange-traded funds (ETFs) to hold spot bitcoin. Within 30...more
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This...more
8/15/2023
/ Anti-Money Laundering ,
Broker-Dealer ,
Corporate Counsel ,
Cryptoassets ,
Cyber Attacks ,
Cybersecurity ,
Disclosure Requirements ,
Enforcement Actions ,
Failure-to-File ,
Form 8-K ,
Investment ,
Investment Adviser ,
Investors ,
Popular ,
Ripple ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Special Purpose Acquisition Companies (SPACs) ,
Suspicious Activity Reports (SARs)
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This...more
2/20/2023
/ Business Conduct Standards ,
CEOs ,
Corporate Counsel ,
Cryptocurrency ,
Cyber Attacks ,
Disclosure ,
Disgorgement ,
Enforcement Actions ,
Failure To Disclose ,
Fixed Income Investments ,
Intent to Defraud ,
Investors ,
Lending Programs ,
McDonalds ,
Misleading Statements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important and interesting SEC enforcement developments from the past month, with links to primary...more
1/17/2023
/ Anti-Money Laundering ,
AT&T ,
Corporate Counsel ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Enforcement Actions ,
Hedge Funds ,
Investors ,
Know Your Customers ,
Misappropriation ,
MNPI ,
Regulation FD ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs)
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This...more
9/7/2022
/ Asset Tokens ,
Corporate Counsel ,
Cryptoassets ,
Cryptocurrency ,
Disclosure Requirements ,
Dodd-Frank ,
Enforcement Actions ,
Failure To Disclose ,
False Reporting ,
Fraud ,
Investors ,
Principal Executive Officer ,
Securities and Exchange Commission (SEC) ,
Shareholders
As a fitting cap to a busy month, on March 30, the SEC Division of Examinations announced its 2022 Examination Priorities. These priorities are consistent with the recent activities of the SEC more generally, as exemplified...more
4/6/2022
/ Chief Compliance Officers ,
Cybersecurity ,
Digital Assets ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Company Act of 1940 ,
Investors ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Special Purpose Acquisition Companies (SPACs)
On May 4, 2020, the Securities and Exchange Commission (SEC) announced that it was providing temporary, conditional relief to established small businesses impacted by COVID-19 that will facilitate their ability to pursue...more