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1
SEC Awards $50 Million To Two Whistleblowers
The SEC awarded $50 million to two whistleblowers for providing information that helped the agency to bring a successful enforcement action.
United States
9 Apr 2019
2
Corporations, Directors, And Officers: Potential Criminal And Civil Liability
This practice note provides an overview of the law and legal standards governing the imposition of criminal liability on officers, directors, and corporations for the acts of employees.
United States
30 Nov 2018
3
New York Congressman Charged With Insider Trading
The SEC charged the U.S. Representative for New York's 27th Congressional District, his son and a third individual with insider trading.
United States
16 Aug 2018
4
SEC Proposes Amendments To Whistleblower Program
The SEC proposed several rule amendments to its whistleblower program under Exchange Act Section 21F, including clarification of existing rules and technical amendments.
United States
10 Jul 2018
5
Under Advisement: SEC Scrutinizes Wealth Management Industry
Recent events have made it clear that there is an increased regulatory focus on the conduct of investment professionals in the wealth-management industry.
United States
22 Mar 2018
6
SEC Issues Largest Whistleblower Awards Ever
The SEC awarded its largest whistleblower payments to date, splitting approximately $50 million between two whistleblowers and giving more than $33 million ...
United States
21 Mar 2018
7
SCOTUS Blows The Whistle: Internal Whistleblowers Take Note
A whistleblower is not a whistleblower unless he reports suspected securities law violations to the SEC.
United States
27 Feb 2018
8
Supreme Court Rules Internal Whistleblowers Are Not Protected Under Dodd-Frank
The Supreme Court narrowed the definition of the term "whistleblower" and excluded internal whistleblowers from the anti-retaliation protections provided under Dodd-Frank (see previous coverage).
United States
27 Feb 2018
9
Cadwalader Attorneys Examine Enforcement Actions Against ICOs
The SEC charged New York-based businessman Maksim Zaslavskiy for defrauding investors through two "so-called" ICOs.
United States
20 Oct 2017
10
Wild West No Longer: The SEC Brings Enforcement Actions Against Two Initial Coin Offerings
Ending months of speculation about when regulators would wade into the world of Bitcoin and other digital currencies, the U.S. Securities and Exchange Commission ("SEC") recently brought....
United States
20 Oct 2017
11
Hedge Fund Adviser Settles Charges Of Failing To Implement Controls To Prevent Insider Trading
A hedge fund advisory firm agreed to pay more than $4.6 million to settle charges that it failed to implement adequate controls for preventing insider trading.
United States
30 Aug 2017
12
Financial CHOICE Act Would Complicate The Choices In Bringing And Defending Against SEC Cases
Legislation passed by the U.S. House of Representatives threatens to shake up the Securities and Exchange Commission's enforcement program in a historic manner.
United States
21 Jun 2017
13
The SEC Retains Its House Advantage During Administrative Proceedings
Facing pressure from industry practitioners and in the wake of constitutional challenges in multiple jurisdictions, the SEC recently amended its Rules of Practice that apply to proceedings before an ALJ.
United States
11 Aug 2016
14
10 Best Practices For Interacting With OCIE Examiners
Over the past two years, the OCIE has increased its examination efforts and has morphed into a powerful tool for the SEC’s Division of Enforcement.
United States
3 Sep 2014
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