Daily Compliance News: August 1, 2025, The All AI Edition
10 For 10: Top Compliance Stories For the Week Ending, August 2, 2025
Daily Compliance News: July 31, 2025. The Forgotten Generation Edition
Daily Compliance News: June 20, 2025, The Death of the Business Card Edition
PLI's inSecurities Podcast - Opening the Securities Enforcement Answer Book
PLI's inSecurities Podcast: A View From the Inside
Compliance Perspectives: Compliance Challenges in India
Nota Bene Episode 83: Fraud Enforcement and Policing COVID Relief: What Businesses Need to Know with Chuck Kreindler
COVID-19 Videocast Series – Episode 2: Conversations from Our Public Tech Company Virtual Situation Room
Podcast: Private Fund Regulatory Update: Post-U.S. Government Shutdown
Podcast: Credit Funds: What Managers Need to Know and Practical Tips to Avoid Insider Trading Risks
WORD OF THE DAY® – Big Boy Letter
The Insider Trading Cartoon Series, Vol. 15 -- United States v. Newman (Part 2)
The Insider Trading Cartoon Series, Vol. 13 -- The Barry Switzer Story
The Insider Trading Cartoon Series, Vol. 14 -- United States v. Newman (Part 1)
The Insider Trading Cartoon Series, Vol. XII -- The Innocent Intermediary
The Insider Trading Cartoon Series, Vol. XI -- Multi-level Tipping
The Insider Trading Cartoon Series, Vol. X -- Tipping (pre-Newman)
The Insider Trading Cartoon Series, Vol. VIII — Negligence?
The Insider Trading Cartoon Series Vol. VII -- Misappropriation Theory (Part the Third)
On June 23, 2025, U.S. District Judge Dale S. Fischer of the Central District of California sentenced a former Chairman and CEO of a behavioral healthcare company to 42 months in federal prison. This conviction represents the...more
On June 21, 2024, a jury in California federal court found a former chief executive officer of a publicly traded healthcare company guilty of insider trading in United States v. Peizer, the first criminal insider-trading case...more
On January 13, 2022, the Securities and Exchange Commission (the “SEC”) proposed several rule and form amendments to address potentially abusive practices relating to the use of Rule 10b5-1 plans, grants of options and other...more
The U.S. Department of Justice (DOJ) and Securities and Exchange Commission (SEC) have recently intensified their scrutiny of insider trading under Rule 10b5-1 trading plans. The emerging trend of enforcement investigations...more
On September 21, 2022, the Securities & Exchange Commission announced a settled enforcement action against two executives of China-based mobile internet company Cheetah Mobile, Inc. The SEC alleged that Sheng Fu, Cheetah...more