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Maynard Nexsen

When Firms Receive Written Notice of Outside Business Activities

Maynard Nexsen on

In the world of outside business activity (OBA) disclosure, many FINRA enforcement actions center on whether a registered person gave, or did not give, prior written notice of those activities to their member firm. These...more

Thomas Fox - Compliance Evangelist

Great Women in Compliance: The Future of Enforcement with Jennifer Lee

Thomas Fox - Compliance Evangelist on

In this episode of Great Women in Compliance, Hemma hosts Jennifer Lee, a partner at Jenner & Block LLP and former Assistant Director at the SEC. The discussion covers Jennifer’s work in SEC investigations, the importance of...more

Paul Hastings LLP

SEC Reportedly Requiring Enforcement Staff to Seek Commission Approval for Formal Orders of Investigation

Paul Hastings LLP on

On February 2, media outlets reported that the Securities and Exchange Commission (SEC or Commission) has told SEC Enforcement attorneys that they need the approval of the agency’s commissioners for all formal orders of...more

Latham & Watkins LLP

SEC Investigations Guide - Second Edition: December 2022

Latham & Watkins LLP on

Even public companies with a strong code of conduct, an exemplary tone at the top, robust internal controls, and a culture of compliance may face allegations of misconduct that can lead to an investigation by the Division of...more

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