News & Analysis as of August 19, 2025

Chief Compliance Officers

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A repository for the most well-read content on JD Supra at any given time, along with occasional roundups of popular content by specific topic. Also stop by for monthly recaps of hot articles for the previous... more +

Top Compliance Program Mistakes (and How to Avoid Them) (Part 1 of 2)

SEC Compliance Consultants, Inc. (SEC³) on 5/23/2025

Chief Compliance Officers face the challenge of running a comprehensive yet efficient compliance program that nimbly adapts to changing regulatory requirements and business practices. As compliance consultants, we see our...more

Another Wave of SEC Settlements Underscore the Continued Priority of Record Retention Communication Compliance

Lowenstein Sandler LLP on 9/9/2024

On August 14, 2024, the U.S. Securities and Exchange Commission (SEC) announced another series of settlements regarding “off-channel communications.”1 As part of its Off-Channel Communications Initiative,2 the SEC settled...more

Top 5 SEC Enforcement Developments for July 2022

Morrison & Foerster LLP on 8/8/2022

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important U.S. Securities and Exchange Commission (SEC) enforcement developments from the past month,...more

Regulatory Update and Recent SEC Enforcement Actions

Blank Rome LLP on 1/12/2017

FINRA Bar Results from Assertion of Fifth Amendment Right against Self-Incrimination in Criminal Action - On October 5, 2016, the Financial Industry Regulatory Authority (“FINRA”) barred an indicted investment adviser,...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 11/2/2015

Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

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