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Financial Fraud Securities and Exchange Commission (SEC) Insider Trading

Morgan Lewis

SEC Focus on the Life Sciences Industry: What to Expect and How to Prepare

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The life sciences sector remains a critical area of focus for the US Securities and Exchange Commission (SEC) under the current administration. Companies operating in the healthcare, pharmaceutical, biotechnology, and medical...more

Dorsey & Whitney LLP

SEC Enforcement: A Review of 3Q21

Dorsey & Whitney LLP on

The new Director of the Enforcement Division, Gurbir Grewal, assumed his position during the Third Quarter of 2021. Even if he hits the ground running it typically takes time to adjust to the environment. ...more

Vinson & Elkins LLP

SEC Enforcement Annual Report

Vinson & Elkins LLP on

On November 2, 2020, the Securities and Exchange Commission’s Enforcement Division issued its annual report, highlighting the Division’s priorities for the upcoming fiscal year and reviewing the enforcement actions for the...more

Dorsey & Whitney LLP

SEC Enforcement’s Third Quarter: More Cases, Broader Reach

Dorsey & Whitney LLP on

The Commission frequently increases the rate at enforcement actions are filed in advance of the September 30th fiscal year end. That fiscal year end is followed by Congressional budget hearings where statistics are at least...more

White & Case LLP

Mitigating Risk of Fraud During the COVID-19 Crisis

White & Case LLP on

Any financial crisis, especially one as pronounced as that triggered by the coronavirus (COVID-19) pandemic, puts companies at heightened risk for fraud. With $2.2 trillion about to be made available for financial relief...more

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