Popular, Department of Justice (DOJ), Publicly-Traded Companies

Don’t Forget About Clayton Act Thresholds For Your Directors and Officers

BCLP on 8/1/2025

Recent enforcement actions and media coverage have increased scrutiny on director interlocks under the Clayton Act, which prohibits individuals serving at the same time as directors or officers of companies that compete....more

Former CEO Sentenced in Historic Insider Trading Case Under Rule 10b5-1

McGlinchey Stafford on 7/10/2025

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

SEC Speech on Cybersecurity Disclosure

Paul Hastings LLP on 1/9/2024

On December 14, 2023, Erik Gerding, Director, Division of Corporation Finance at the Securities and Exchange Commission (“SEC”) gave a speech on the SEC’s final rules (the “Final Rule(s)”) regarding cybersecurity risk...more

SEC’s Cybersecurity Rules – SEC Issues Guidance and DOJ Establishes Processes for the National Security or Public Safety Exception

Alston & Bird on 12/22/2023

Our Securities and Privacy, Cyber & Data Strategy teams unpack the Department of Justice’s (DOJ) process for companies seeking to delay Form 8-K disclosures under the Securities and Exchange Commission’s (SEC) cybersecurity...more

FBI, DOJ and SEC Publish Guidance on Requesting Delayed Reporting of Material Cyber Incidents on Form 8-K: Takeaways for CISOs and...

Skadden, Arps, Slate, Meagher & Flom LLP on 12/20/2023

The U.S. Securities and Exchange Commission (SEC) adopted final rules in 2023 that are intended to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance and incident reporting by...more

DOJ, FBI Issue Guidance for Public Companies Seeking to Delay Disclosure of Material Cybersecurity Incidents

Davis Wright Tremaine LLP on 12/15/2023

As we discussed in our prior blog post, the Securities and Exchange Commission (SEC) recently finalized its Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure rule for public companies (the "Rule")....more

DOJ Antitrust Announces Five More Director Resignations from US Company Boards in Continued Aggressive Clayton Act Section 8...

White & Case LLP on 3/20/2023

The Antitrust Division of the US Department of Justice ("DOJ") continues to aggressively pursue alleged illegal interlocking directorates that violate Section 8 of the Clayton Act, and in particular, interlocks involving...more

Renewed Focus on SOX 304 Compliance Stresses Need for Culture of Compliance, Executive Accountability

NAVEX on 11/14/2022

The Department of Justice and the Securities and Exchange Commission have signaled in recent months that they have reinvigorated their focus on executive compensation claw backs, urging companies to adopt compensation...more

SEC Enforcement in 2022: A Look Ahead

Foley Hoag LLP - White Collar Law &... on 3/1/2022

This is the sixth post in this year’s series examining important trends in white collar law and investigations. Our previous post discussed trends in sanctions & export controls enforcement. Up next: trends in False Claims...more

Not So Special – Securities And Antitrust Regulators May Increase Attention To SPACs In The Coming Year

King & Spalding on 1/26/2021

In a remarkable year for the equity markets in 2020, the increased use of Special Purpose Acquisition Companies (“SPACs”) to take companies public stands out as a defining trend. In 2020, well-known private businesses – like...more

Spotting and Mitigating Enforcement Issues Concerning Cybersecurity-Related Controls and Disclosures

Morgan Lewis on 9/11/2020

The growing frequency and public awareness of cyberincidents, evolution of technologies employed by intruders, and proliferation of personal data and infrastructure vulnerable to attack have all contributed to heightened...more

Ex-Braskem CEO Indicted on FCPA, AML and Books and Records Charges

Thomas Fox - Compliance Evangelist on 11/21/2019

Yesterday, the Department of Justice (DOJ) announced three charges against Jose Carlos Grubisich, the former Chief Executive Officer (CEO) of Braskem S.A. (Braskem), a publicly traded Brazilian petrochemical company, for his...more

Department of Justice Fraud Section Provides Guidance on Evaluating Corporate Compliance Programs

Jones Day on 3/2/2017

On February 8, 2017, the United States Department of Justice ("DOJ") Fraud Section published a blueprint for assessing corporate compliance efforts, titled "Evaluation of Corporate Compliance Programs" ("Guidance"). It...more

Federal Counterpart to New York’s Investigation of Climate Change Disclosures by Fossil Fuel Companies

Akin Gump Strauss Hauer & Feld LLP on 3/1/2016

Recently, three House Democrats urged the Department of Justice (DOJ) to launch an investigation of an alleged conspiracy by the fossil fuel industry to deceive the public on climate change in order to benefit the sale of its...more

Are Public Companies Required to Disclose that the Government is Investigating Them?

K&L Gates LLP on 7/14/2015

For many public companies, the first issue they have to confront after they receive a government subpoena or Civil Investigative Demand (“CID”) is whether to disclose publicly that they are under investigation. Curiously, the...more

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