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Settlement Government Investigations Securities and Exchange Commission (SEC)

Holland & Knight LLP

Meta-Gaming Regulatory Enforcement as Litigation Strategy

Holland & Knight LLP on

The regulatory landscape is never static. The arrival of a new presidential administration often brings a shift in enforcement priorities, and President Donald Trump's administration has delivered that in spades with regard...more

Goodwin

SEC and CFTC Send Powerful Message With $2 Billion in Fines Related to Social Media and Text Recordkeeping Lapses

Goodwin on

​​​​​​​The SEC and CFTC recently charged 11 large financial institutions and their affiliates for failing to collect, monitor, and preserve communications over WhatsApp and other messaging services. These settlements follow a...more

Goodwin

SEC Enforcement Updates: Interim Director Named; Staff Investigative Powers Bolstered; “Bad Boy” Waivers Less Certain

Goodwin on

The past few weeks have ushered in signs of what’s likely to come from the SEC’s Division of Enforcement under the Biden Administration, including a greater number of investigations and a tougher path to “bad boy” waivers for...more

Goodwin

Securities Class Action Against Swiss-Based Company Dismissed On Forum Non Conveniens Grounds

Goodwin on

Securities Class Action Against Swiss-Based Company Dismissed On Forum Non Conveniens Grounds; Second Circuit Finds Strong Inference of “Conscious Recklessness” In Allegations And Reverses Dismissal of Securities Suit Against...more

Faegre Drinker Biddle & Reath LLP

SEC: Here Is When Loss Contingencies Must Be Disclosed and Reserved

When confronted with government inquiries, public companies commonly grapple with the issue of when events have escalated to the point that they are subject to disclosure obligations—or, further yet, require recognition as a...more

Skadden, Arps, Slate, Meagher & Flom LLP

Cross-Border Investigations Update - December 2016

This issue of Skadden’s semiannual Cross-Border Investigations Update looks at Brexit’s impact on corporate crime and investigations, the U.S. DOJ’s increased use of forfeiture actions with international implications, current...more

Robins Kaplan LLP

Your daily dose of financial news - The Brief – 9.20.16

Robins Kaplan LLP on

The hits just keep on coming for Wells Fargo, who now is facing questions about its failure to prime the market for news of its $185 million SEC settlement earlier this month. The main concern with that tack is that Wells...more

BakerHostetler

Foreign Corrupt Practices Act 2015 Year-End Update

BakerHostetler on

Both the United States Department of Justice (DOJ) and the United States Securities and Exchange Commission (SEC) have continued their focus on anticorruption enforcement in 2015. Although there was a decline in enforcement...more

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