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Penalties › Regulatory Reform › Securities Regulation

A&O Shearman

ESMA publishes technical advice on scope of CSDR settlement discipline regime

A&O Shearman on

The European Securities and Markets Authority (ESMA) has published a final report and press release, providing technical advice to the European Commission (EC) on narrowing the scope of the Central Securities Depositories...more

Stradling Yocca Carlson & Rauth

The SEC’s Enforcement Program Under President Trump’s Second Administration: What Can We Expect

Stradling Yocca Carlson & Rauth on

Al Tierney, a partner in Stradling’s SEC enforcement practice, recently authored the article, “The SEC’s Enforcement Program Under President Trump’s Second Administration: What Can We Expect” for the OC Lawyer. With Paul...more

Cornerstone Research

SEC Accounting and Auditing Enforcement Activity Plummeted in Final Year of Gensler Administration

Cornerstone Research on

The U.S. Securities and Exchange Commission (SEC) drastically reduced its accounting and auditing enforcement activity in fiscal year 2024, the final year of Gary Gensler’s administration, ending two consecutive years of...more

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