Securities and Exchange Commission (SEC), Sanctions, Risk Management

Understanding and Mitigating Legal and Compliance Risks Relating to Cartels and Transnational Criminal Organizations

Skadden, Arps, Slate, Meagher & Flom LLP on 3/25/2025

On his first day in office, President Trump signed Executive Order 14157 calling for the designation of certain cartels and transnational criminal organizations (TCOs) as foreign terrorist organizations (FTOs) or specially...more

Investment Advisers and Generative AI

Guidepost Solutions LLC on 3/26/2024

Start Planning Now to Reduce Your Increased Money Laundering, Sanctions, and Conflicts of Interest Risks The introduction and use of generative artificial intelligence (GenAI) and predictive data analytics (PDAs) by...more

Risk & Compliance as a Strategic Imperative for the Board

NAVEX on 2/20/2024

In an era marked by heightened global regulatory scrutiny and enforcement, the landscape of risk and compliance is undergoing an evolution making the strategic imperative for effective, risk-based compliance initiatives...more

Third-Party Risks Making Headlines in 2023 and How to Prepare

NAVEX on 4/19/2023

Third parties have posed significant risks to companies for years, but perhaps more so now than ever before. Cyber threats, Russia sanctions, and a new wave of child labor in the United States are just a few risks making...more

SEC Issues Cybersecurity Sanctions Against Eight Firms

Balch & Bingham LLP on 9/21/2021

Background - On August 30, 2021, the Securities and Exchange Commission (SEC) sanctioned eight firms in three actions for cybersecurity failures in their policies and procedures that exposed the personal information of...more

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on 10/1/2015

Non-Enforcement Cybersecurity Is At the Top of SEC Examination Concerns In a recent SEC “risk alert” for registered broker-dealers and investment advisers, the SEC’s Office of Compliance Inspections and Examinations (OCIE)...more

Coding Errors Lead To SEC Sanctions for High-Frequency Trading Firm

Proskauer - Corporate Defense and Disputes on 10/1/2015

Mistakes in computer coding by a high frequency trading firm that went undetected for approximately four years were responsible for approximately 12.6 million orders that violated Reg NMS, according to an Order settling an...more

Securities and Exchange Commission (SEC) › Sanctions › Risk Management