A&O Shearman | Government Regulatory Enforcement Blog https://www.lit-wc.aoshearman.com SEC And CFTC Enter Memorandum Of Understanding To Promote Cross Agency Collaboration https://www.lit-wc.aoshearman.com/sec-and-cftc-enter-memorandum-of-understanding-to-promote-cross-agency-collaboration Thu, 23 Apr 2026 18:05:00 GMT https://www.lit-wc.aoshearman.com/sec-and-cftc-enter-memorandum-of-understanding-to-promote-cross-agency-collaboration Foreign Nationals Charged In International Operation Targeting Wash Trading In Cryptocurrency Markets https://www.lit-wc.aoshearman.com/foreign-nationals-charged-in-international-operation-targeting-wash-trading-in-cryptocurrency-markets Thu, 23 Apr 2026 17:47:00 GMT https://www.lit-wc.aoshearman.com/foreign-nationals-charged-in-international-operation-targeting-wash-trading-in-cryptocurrency-markets CFTC Enforcement Division Issues Advisory On Prediction Market Trading Practices https://www.lit-wc.aoshearman.com/cftc-enforcement-division-issues-advisory-on-prediction-market-trading-practices Tue, 03 Mar 2026 20:39:00 GMT https://www.lit-wc.aoshearman.com/cftc-enforcement-division-issues-advisory-on-prediction-market-trading-practices DOJ Provides Insights into False Claims Act Investigations Related to DEI and Antidiscrimination https://www.lit-wc.aoshearman.com/doj-provides-insights-into-false-claims-act-investigations-related-to-dei-and-antidiscrimination Tue, 03 Mar 2026 20:36:00 GMT https://www.lit-wc.aoshearman.com/doj-provides-insights-into-false-claims-act-investigations-related-to-dei-and-antidiscrimination U.S. Attorney's Office For The Southern District Of New York Issues New Corporate Enforcement And Voluntary Self-Disclosure Program For Financial Crimes https://www.lit-wc.aoshearman.com/us-attorneys-office-for-the-southern-district-of-new-york-issues-new-corporate-enforcement-and-voluntary-self-disclosure-program-for-financial-crimes Tue, 03 Mar 2026 20:27:00 GMT https://www.lit-wc.aoshearman.com/us-attorneys-office-for-the-southern-district-of-new-york-issues-new-corporate-enforcement-and-voluntary-self-disclosure-program-for-financial-crimes SEC Updates Enforcement Manual: Key Changes To Wells Notices, Settlements, and Cooperation Guidance https://www.lit-wc.aoshearman.com/sec-updates-enforcement-manual-key-changes-to-wells-notices-settlements-and-cooperation-guidance Tue, 03 Mar 2026 14:16:00 GMT https://www.lit-wc.aoshearman.com/sec-updates-enforcement-manual-key-changes-to-wells-notices-settlements-and-cooperation-guidance Southern District Of New York Rules That AI-Generated Documents Prepared Without The Direction Of Counsel Were Not Protected By Privilege https://www.lit-wc.aoshearman.com/southern-district-of-new-york-rules-that-ai-generated-documents-prepared-without-the-direction-of-counsel-were-not-protected-by-privilege Wed, 18 Feb 2026 19:20:00 GMT https://www.lit-wc.aoshearman.com/southern-district-of-new-york-rules-that-ai-generated-documents-prepared-without-the-direction-of-counsel-were-not-protected-by-privilege New York Attorney General Institutes Insider Trading Action Under Martin Act https://www.lit-wc.aoshearman.com/new-york-attorney-general-institutes-insider-trading-action-under-martin-act Tue, 27 Jan 2026 23:06:00 GMT https://www.lit-wc.aoshearman.com/new-york-attorney-general-institutes-insider-trading-action-under-martin-act DOJ Announces Record-Breaking Year Of Settlements And Judgments Under The False Claims Act https://www.lit-wc.aoshearman.com/doj-announces-record-breaking-year-of-settlements-and-judgments-under-the-false-claims-act Tue, 27 Jan 2026 22:46:00 GMT https://www.lit-wc.aoshearman.com/doj-announces-record-breaking-year-of-settlements-and-judgments-under-the-false-claims-act New DOJ Fraud Enforcement Division Announced https://www.lit-wc.aoshearman.com/new-doj-fraud-enforcement-division-announced Tue, 13 Jan 2026 16:54:00 GMT https://www.lit-wc.aoshearman.com/new-doj-fraud-enforcement-division-announced CFTC Agrees To Dismiss With Prejudice Spoofing Action Against Energy Trading Firm https://www.lit-wc.aoshearman.com/cftc-agrees-to-dismiss-with-prejudice-spoofing-action-against-energy-trading-firm Tue, 23 Dec 2025 19:48:00 GMT https://www.lit-wc.aoshearman.com/cftc-agrees-to-dismiss-with-prejudice-spoofing-action-against-energy-trading-firm Private Equity Firm Pays Over $11 Million To Settle Russia-Related Sanctions With OFAC https://www.lit-wc.aoshearman.com/private-equity-firm-pays-over-11-million-to-settle-russia-related-sanctions-with-ofac Wed, 17 Dec 2025 20:26:00 GMT https://www.lit-wc.aoshearman.com/private-equity-firm-pays-over-11-million-to-settle-russia-related-sanctions-with-ofac CFTC Announces Reforms To Rules Of Practice And Investigations https://www.lit-wc.aoshearman.com/cftc-announces-reforms-to-rules-of-practice-and-investigations Wed, 17 Dec 2025 20:23:00 GMT https://www.lit-wc.aoshearman.com/cftc-announces-reforms-to-rules-of-practice-and-investigations Fifth Circuit Judge Renews Scrutiny Of FCA's Qui Tam Constitutionality https://www.lit-wc.aoshearman.com/fifth-circuit-judge-renews-scrutiny-of-fcas-qui-tam-constitutionality Tue, 11 Nov 2025 18:25:00 GMT https://www.lit-wc.aoshearman.com/fifth-circuit-judge-renews-scrutiny-of-fcas-qui-tam-constitutionality FINRA Fines Brokerage Firm $10M for Lavish Gifts and Entertainment https://www.lit-wc.aoshearman.com/finra-fines-brokerage-firm-10m-for-lavish-gifts-and-entertainment Tue, 11 Nov 2025 17:55:00 GMT https://www.lit-wc.aoshearman.com/finra-fines-brokerage-firm-10m-for-lavish-gifts-and-entertainment Sixth Circuit Reaffirms Robust Privilege And Work-Product Protection For Internal Investigations In FirstEnergy Mandamus Ruling https://www.lit-wc.aoshearman.com/Sixth-Circuit-Reaffirms-Robust-Privilege-And-Work-Product-Protection Wed, 15 Oct 2025 17:54:00 GMT https://www.lit-wc.aoshearman.com/Sixth-Circuit-Reaffirms-Robust-Privilege-And-Work-Product-Protection SEC Restores Practice Of Considering Settlement Offers Conditioned On The Issuance Of Collateral Consequence Waivers https://www.lit-wc.aoshearman.com/SEC-Restores-Practice-Of-Considering-Settlement-Offers Tue, 30 Sep 2025 18:30:00 GMT https://www.lit-wc.aoshearman.com/SEC-Restores-Practice-Of-Considering-Settlement-Offers CFTC Sole Democratic Commissioner Kristin Johnson To Leave The Commission https://www.lit-wc.aoshearman.com/CFTC-Sole-Democratic-Commissioner-Kristin-Johnson-To-Leave-The-Commission Tue, 16 Sep 2025 19:17:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Sole-Democratic-Commissioner-Kristin-Johnson-To-Leave-The-Commission SEC Launches Cross-Border Fraud Task Force, Signaling An Initial Focus On China https://www.lit-wc.aoshearman.com/SEC-Launches-Cross-Border-Fraud-Task-Force-Focusing-on-China Tue, 16 Sep 2025 19:03:00 GMT https://www.lit-wc.aoshearman.com/SEC-Launches-Cross-Border-Fraud-Task-Force-Focusing-on-China First DOJ Declination For FCPA Violations Since Renewed Enforcement Guidelines https://www.lit-wc.aoshearman.com/First-DOJ-Declination-For-FCPA-Violations-Since-Renewed-Enforcement-Guidelines Tue, 26 Aug 2025 18:14:00 GMT https://www.lit-wc.aoshearman.com/First-DOJ-Declination-For-FCPA-Violations-Since-Renewed-Enforcement-Guidelines SEC Appoints Judge Margaret "Meg" Ryan As The New Director Of The Division Of Enforcement https://www.lit-wc.aoshearman.com/SEC-Appoints-Judge-Margaret-Ryan-New-Director-Of-The-Division-Of-Enforcement Tue, 26 Aug 2025 18:11:00 GMT https://www.lit-wc.aoshearman.com/SEC-Appoints-Judge-Margaret-Ryan-New-Director-Of-The-Division-Of-Enforcement Second Circuit Vacates Wire Fraud Conviction For "Insider Trading" On NFTs https://www.lit-wc.aoshearman.com/Second-Circuit-Vacates-Wire-Fraud-Conviction-For-Insider-Trading-On-NFTs Tue, 05 Aug 2025 17:37:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Vacates-Wire-Fraud-Conviction-For-Insider-Trading-On-NFTs Pharma Company Brings Latest Constitutional Challenge To False Claims Act In Third Circuit https://www.lit-wc.aoshearman.com/Pharma-Co-Brings-Latest-Constitutional-Challenge-To-False-Claims-Act Tue, 29 Jul 2025 17:01:00 GMT https://www.lit-wc.aoshearman.com/Pharma-Co-Brings-Latest-Constitutional-Challenge-To-False-Claims-Act New DOJ-USPS Whistleblower Rewards Program For Antitrust Tips https://www.lit-wc.aoshearman.com/New-DOJ-USPS-Whistleblower-Rewards-Program-For-Antitrust-tips Tue, 15 Jul 2025 19:33:00 GMT https://www.lit-wc.aoshearman.com/New-DOJ-USPS-Whistleblower-Rewards-Program-For-Antitrust-tips DOJ Issues First-Ever Declination For Sanctions Violations Since Creation Of The M&A Safe Harbor Policy https://www.lit-wc.aoshearman.com/DOJ-Issues-First-Ever-Declination-For-Sanctions-Violations Wed, 02 Jul 2025 16:59:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Issues-First-Ever-Declination-For-Sanctions-Violations Supreme Court Declines To Hear Constitutional Challenge To FINRA's Enforcement Powers https://www.lit-wc.aoshearman.com/Supreme-Court-Declines-To-Hear-Constitutional-Challenge-To-FINRA-Enforcement-Powers Tue, 17 Jun 2025 21:15:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-Declines-To-Hear-Constitutional-Challenge-To-FINRA-Enforcement-Powers Supreme Court Decision Endorses Fraudulent-Inducement Theory Under Federal Wire Fraud Statute, Resolving Circuit Split And Confirming Broad Reading Of Statute https://www.lit-wc.aoshearman.com/Supreme-Court-Endorses-Fraudulent-Inducement-Theory-Under-Federal-Wire-Fraud-Statute Tue, 17 Jun 2025 21:09:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-Endorses-Fraudulent-Inducement-Theory-Under-Federal-Wire-Fraud-Statute DOJ Releases New FCPA Enforcement Guidelines https://www.lit-wc.aoshearman.com/DOJ-Releases-New-FCPA-Enforcement-Guidelines Tue, 17 Jun 2025 21:02:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Releases-New-FCPA-Enforcement-Guidelines CFTC Releases Guidance On Registered Non-U.S. Swap Entities Using Substituted Compliance https://www.lit-wc.aoshearman.com/CFTC-Releases-Guidance-On-Registered-Non-US-Swap-Entities Wed, 28 May 2025 14:41:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Releases-Guidance-On-Registered-Non-US-Swap-Entities DOJ Announces Civil Rights Fraud Initiative Targeting Federal Fund Recipients' Use Of DEI https://www.lit-wc.aoshearman.com/DOJ-Announces-Civil-Rights-Fraud-Initiative-Targeting-Federal-Fund-Recipients-Use-Of-DEI Wed, 28 May 2025 14:39:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Announces-Civil-Rights-Fraud-Initiative-Targeting-Federal-Fund-Recipients-Use-Of-DEI DOJ Announces Substantial Strategic Shifts In White-Collar Crime Enforcement https://www.lit-wc.aoshearman.com/DOJ-Announces-Substantial-Strategic-Shifts-In-White-Collar-Crime-Enforcement Tue, 20 May 2025 17:28:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Announces-Substantial-Strategic-Shifts-In-White-Collar-Crime-Enforcement Defense Contractors To Pay $8.4 Million To Resolve False Claims Act Allegations Surrounding Non-Compliance With Cybersecurity Requirements https://www.lit-wc.aoshearman.com/Defense-Contractors-To-Pay-84-Million Tue, 13 May 2025 16:46:00 GMT https://www.lit-wc.aoshearman.com/Defense-Contractors-To-Pay-84-Million SEC Charges Founder & Associates With Fraud For Allegedly Running A Nearly $200M Ponzi-like Crypto Investment Scheme https://www.lit-wc.aoshearman.com/SEC-Charges-Founder-and-Associates-With-Fraud-in-Ponzi-like-Crypto-Investment-Scheme Tue, 29 Apr 2025 13:06:00 GMT https://www.lit-wc.aoshearman.com/SEC-Charges-Founder-and-Associates-With-Fraud-in-Ponzi-like-Crypto-Investment-Scheme Heightened Surveillance And Regulatory Requirements For Virtual Currency Derivatives Exchanges Withdrawn https://www.lit-wc.aoshearman.com/Heightened-Surveillance-And-Regulatory-Requirements-for-virtual-currency-derivatives-exchanges Tue, 08 Apr 2025 16:05:00 GMT https://www.lit-wc.aoshearman.com/Heightened-Surveillance-And-Regulatory-Requirements-for-virtual-currency-derivatives-exchanges Criminal Case Against Former Executives Of Technology Company Dismissed https://www.lit-wc.aoshearman.com/Criminal-Case-Against-Former-Executives-Of-Technology-Company-Dismissed Tue, 08 Apr 2025 15:34:00 GMT https://www.lit-wc.aoshearman.com/Criminal-Case-Against-Former-Executives-Of-Technology-Company-Dismissed SEC Charges Three Arizona Individuals With Fraudulent Municipal Bond Offering https://www.lit-wc.aoshearman.com/SEC-Charges-Three-Arizona-Individuals-With-Fraudulent-municipal-bond-offering Tue, 08 Apr 2025 14:59:00 GMT https://www.lit-wc.aoshearman.com/SEC-Charges-Three-Arizona-Individuals-With-Fraudulent-municipal-bond-offering DOJ Announces Settlement Where Medical Group And Related Parties Will Pay Over $62M To Resolve False Claims Act Suit https://www.lit-wc.aoshearman.com/DOJ-Announces-Settlement-Where-Medical-Group-And-Related-Parties-Will-Pay-Over-USD62M Tue, 01 Apr 2025 16:52:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Announces-Settlement-Where-Medical-Group-And-Related-Parties-Will-Pay-Over-USD62M First Circuit Ruling Requiring "But-For" Causation In FCA Kickback Claims Deepens Circuit Split https://www.lit-wc.aoshearman.com/First-Circuit-Ruling-Requiring-But-For-Causation Tue, 11 Mar 2025 16:37:00 GMT https://www.lit-wc.aoshearman.com/First-Circuit-Ruling-Requiring-But-For-Causation SEC Declares Meme Coins Are Not "Securities" In New Statement https://www.lit-wc.aoshearman.com/SEC-Declares-Meme-Coins-Are-Not-Securities Tue, 11 Mar 2025 15:57:00 GMT https://www.lit-wc.aoshearman.com/SEC-Declares-Meme-Coins-Are-Not-Securities Cryptocurrency Exchange Pleads Guilty To Violating Anti-Money Laundering Laws, Agrees To Pay More Than $500 Million In Penalties And Forfeiture https://www.lit-wc.aoshearman.com/Cryptocurrency-Exchange-Pleads-Guilty-To-Violating-anti-money-laundering-laws Tue, 11 Mar 2025 14:19:00 GMT https://www.lit-wc.aoshearman.com/Cryptocurrency-Exchange-Pleads-Guilty-To-Violating-anti-money-laundering-laws US Attorney For The District of New Jersey Reverses Course And Requests Adjournment For Foreign Bribery Case Against Tech Executives On Eve of Trial https://www.lit-wc.aoshearman.com/US-Attorney-For-The-District-of-New-Jersey-Reverses-Course-in-bribery-case Tue, 11 Mar 2025 13:58:00 GMT https://www.lit-wc.aoshearman.com/US-Attorney-For-The-District-of-New-Jersey-Reverses-Course-in-bribery-case Federal Departments And Regulatory Agencies Move Quickly To Reorganize Structure And Policy Goals Following Introduction Of New Administration https://www.lit-wc.aoshearman.com/Federal-Departments-And-Regulatory-Agencies-Move-to-reorganize-structure-and-policy Tue, 11 Feb 2025 21:19:00 GMT https://www.lit-wc.aoshearman.com/Federal-Departments-And-Regulatory-Agencies-Move-to-reorganize-structure-and-policy Major Crypto Exchange Pleads Guilty, Agrees To $297 Million Penalty; Founders Secure DPAs https://www.lit-wc.aoshearman.com/Major-Crypto-Exchange-Pleads-Guilty-Agrees-To-USD297-million-penalty Tue, 04 Feb 2025 19:05:00 GMT https://www.lit-wc.aoshearman.com/Major-Crypto-Exchange-Pleads-Guilty-Agrees-To-USD297-million-penalty Energy Company Settles Long-Running Dispute With FERC After Jarkesy Decision Undercuts FERC's Enforcement Authority https://www.lit-wc.aoshearman.com/Energy-Company-Settles-Long-Running-Dispute-With- Wed, 22 Jan 2025 22:35:00 GMT https://www.lit-wc.aoshearman.com/Energy-Company-Settles-Long-Running-Dispute-With- SEC Announces Settlement With Investment Advisory Firm For Allegedly Breaching Fiduciary Duties And Violating Whistleblower Protection Rule https://www.lit-wc.aoshearman.com/SEC-Announces-Settlement-With-Investment-Advisory-firm Wed, 22 Jan 2025 20:09:00 GMT https://www.lit-wc.aoshearman.com/SEC-Announces-Settlement-With-Investment-Advisory-firm SEC Enters Into Off-Channel Settlements With Twelve Additional Firms Prior To Leadership Turnover https://www.lit-wc.aoshearman.com/SEC-Enters-Into-Off-Channel-Settlements-With-Twelve-additional-firms Wed, 22 Jan 2025 19:44:00 GMT https://www.lit-wc.aoshearman.com/SEC-Enters-Into-Off-Channel-Settlements-With-Twelve-additional-firms SEC Files Complaint Alleging Hedge Fund Manager Failed To Maintain And Enforce Adequate MNPI Policies And Procedures To Separate Public And Private Side Employees https://www.lit-wc.aoshearman.com/SEC-Files-Complaint-Alleging-Hedge-Fund-Manager-Failed-to-maintain-mnpi-policies Tue, 24 Dec 2024 16:19:00 GMT https://www.lit-wc.aoshearman.com/SEC-Files-Complaint-Alleging-Hedge-Fund-Manager-Failed-to-maintain-mnpi-policies Fifth Circuit Vacates SEC Order Approving Nasdaq's Board Diversity Proposal https://www.lit-wc.aoshearman.com/Fifth-Circuit-Vacates-SEC-Order-Approving-Nasdaq-board-diversity-proposal Tue, 24 Dec 2024 16:11:00 GMT https://www.lit-wc.aoshearman.com/Fifth-Circuit-Vacates-SEC-Order-Approving-Nasdaq-board-diversity-proposal Consulting Firm Agrees To Pay $650 Million In A Deferred Prosecution Agreement To Avoid Opioid Misbranding Conspiracy Charges https://www.lit-wc.aoshearman.com/Consulting-Firm-Agrees-To-Pay-650-Million Tue, 17 Dec 2024 22:27:00 GMT https://www.lit-wc.aoshearman.com/Consulting-Firm-Agrees-To-Pay-650-Million CFTC Issues Advisory Guidance For Anticipated Growth In Use Of Artificial Intelligence By Regulated Entities https://www.lit-wc.aoshearman.com/CFTC-Issues-Advisory-Guidance-For-Anticipated-Growth Tue, 17 Dec 2024 18:25:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Issues-Advisory-Guidance-For-Anticipated-Growth Fifth Circuit Limits OFAC Authority Over Certain Cryptocurrency Products https://www.lit-wc.aoshearman.com/Fifth-Circuit-Limits-OFAC-Authority-Over-Certain-Cryptocurrency-Products Wed, 11 Dec 2024 18:46:00 GMT https://www.lit-wc.aoshearman.com/Fifth-Circuit-Limits-OFAC-Authority-Over-Certain-Cryptocurrency-Products DC Circuit Grants Preliminary Injunction Preventing FINRA From Expelling Member Without SEC Review, Finding Private Nondelegation Doctrine Likely To Apply https://www.lit-wc.aoshearman.com/DC-Circuit-Grants-Preliminary-Injunction Wed, 11 Dec 2024 18:41:00 GMT https://www.lit-wc.aoshearman.com/DC-Circuit-Grants-Preliminary-Injunction CFTC Awards $4 Million To Whistleblowers, Citing Disclosure Timing https://www.lit-wc.aoshearman.com/CFTC-Awards-4-Million-To-Whistleblowers Tue, 19 Nov 2024 20:49:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Awards-4-Million-To-Whistleblowers Undeterred By Recent Court Loss, SEC Charges Four Companies With Inadequate Cyber Disclosures In The Aftermath Of SolarWinds Breach https://www.lit-wc.aoshearman.com/Undeterred-By-Recent-Court-Loss-SEC-Charges Tue, 29 Oct 2024 19:45:00 GMT https://www.lit-wc.aoshearman.com/Undeterred-By-Recent-Court-Loss-SEC-Charges The Commodity Futures Trading Commission Files Its First Actions For Fraud In The Voluntary Carbon Credit Market https://www.lit-wc.aoshearman.com/The-Commodity-Futures-Trading-Commission-Files Tue, 22 Oct 2024 16:20:00 GMT https://www.lit-wc.aoshearman.com/The-Commodity-Futures-Trading-Commission-Files Securities And Exchange Commission Alleges That Crypto Trading Firm Sold Unregistered Securities https://www.lit-wc.aoshearman.com/Securities-And-Exchange-Commission-Alleges-That-C Tue, 22 Oct 2024 16:07:00 GMT https://www.lit-wc.aoshearman.com/Securities-And-Exchange-Commission-Alleges-That-C Crypto Exchange Challenges SEC's Jurisdiction Over Sale Of Digital Assets https://www.lit-wc.aoshearman.com/Crypto-Exchange-Challenges-SECrsquos-Jurisdiction Wed, 16 Oct 2024 20:11:00 GMT https://www.lit-wc.aoshearman.com/Crypto-Exchange-Challenges-SECrsquos-Jurisdiction Florida District Court Holds FCA's Qui Tam Provision Unconstitutional https://www.lit-wc.aoshearman.com/florida-district-court-holds-fca-s-qui-tam-provision-unconstitutional Wed, 16 Oct 2024 18:50:00 GMT https://www.lit-wc.aoshearman.com/florida-district-court-holds-fca-s-qui-tam-provision-unconstitutional The SEC Files Settled Complaint Against A Public Company Director For Allegedly Hiding Close Friendship With Company Executive To Be Deemed Independent https://www.lit-wc.aoshearman.com/The-SEC-Files-Settled-Complaint-Against-A-Public Tue, 08 Oct 2024 18:29:00 GMT https://www.lit-wc.aoshearman.com/The-SEC-Files-Settled-Complaint-Against-A-Public SEC Reaches Three Separate Resolutions In Continued Focus On Whistleblowers And Rule 21F-17(a) https://www.lit-wc.aoshearman.com/SEC-Reaches-Three-Separate-Resolutions Tue, 01 Oct 2024 19:49:00 GMT https://www.lit-wc.aoshearman.com/SEC-Reaches-Three-Separate-Resolutions SEC Charges Company With Reg FD Violations For Disclosing Information Via Posts On CEO's Social Media Accounts https://www.lit-wc.aoshearman.com/SEC-Charges-Company-With-Reg-FD-Violations Tue, 01 Oct 2024 18:46:00 GMT https://www.lit-wc.aoshearman.com/SEC-Charges-Company-With-Reg-FD-Violations Looking Back And Moving Forward - 2023 FCPA Enforcement Trends And Patterns https://www.lit-wc.aoshearman.com/looking-back-and-moving-forward-2023-fcpa-enforcement-trends-and-patterns Tue, 17 Sep 2024 18:24:00 GMT https://www.lit-wc.aoshearman.com/looking-back-and-moving-forward-2023-fcpa-enforcement-trends-and-patterns CFTC Reaches $48 Million Settlement With Swiss Energy Trader Over Attempted Gasoline Market Manipulation Scheme https://www.lit-wc.aoshearman.com/CFTC-Reaches-48-Million-Settlement-With-Swiss Tue, 17 Sep 2024 17:05:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Reaches-48-Million-Settlement-With-Swiss FINRA Beats First Post-Jarkesy Challenge https://www.lit-wc.aoshearman.com/finra-beats-first-post-jarkesy-challenge Tue, 17 Sep 2024 04:15:00 GMT https://www.lit-wc.aoshearman.com/finra-beats-first-post-jarkesy-challenge New York Federal Judge Orders $125 Million Penalty Against Digital Asset Infrastructure Company https://www.lit-wc.aoshearman.com/New-York-Federal-Judge-Orders-125-Million-Penalty Tue, 13 Aug 2024 19:38:00 GMT https://www.lit-wc.aoshearman.com/New-York-Federal-Judge-Orders-125-Million-Penalty DOJ Kicks Off Whistleblower Rewards Program https://www.lit-wc.aoshearman.com/DOJ-Kicks-Off-Whistleblower-Rewards-Program Tue, 06 Aug 2024 17:33:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Kicks-Off-Whistleblower-Rewards-Program FINRA Faces Post- Jarkesy Challenge To Its Enforcement Program https://www.lit-wc.aoshearman.com/FINRA-Faces-Post-Jarkesy-Challenge Tue, 23 Jul 2024 18:08:00 GMT https://www.lit-wc.aoshearman.com/FINRA-Faces-Post-Jarkesy-Challenge Judge Dismisses Most Of SEC's Suit Against An IT Management Software Company Over Cybersecurity Disclosures https://www.lit-wc.aoshearman.com/Judge-Dismisses-Most-Of-SECs-Suit-Against Tue, 23 Jul 2024 16:42:00 GMT https://www.lit-wc.aoshearman.com/Judge-Dismisses-Most-Of-SECs-Suit-Against United States Supreme Court Holds That The SEC Cannot Pursue Civil Fraud Penalties In Administrative Proceedings, Potentially Altering How Many Agencies Will Be Forced To Pursue Certain Rule Violations https://www.lit-wc.aoshearman.com/United-States-Supreme-Court-Holds-That-The-SEC-Cannot-Pursue-Civil-Fraud-Penalties Wed, 17 Jul 2024 19:59:00 GMT https://www.lit-wc.aoshearman.com/United-States-Supreme-Court-Holds-That-The-SEC-Cannot-Pursue-Civil-Fraud-Penalties United States Supreme Court Holds That Federal Bribery Statute Does Not Criminalize Gratuities In An Opinion Again Focusing On Importance Of Clear Lines In Criminal Statutes https://www.lit-wc.aoshearman.com/United-States-Supreme-Court-Holds-That-Federal-Bribery-Statute-Does-Not-Criminalize-Gratuities Wed, 17 Jul 2024 19:58:00 GMT https://www.lit-wc.aoshearman.com/United-States-Supreme-Court-Holds-That-Federal-Bribery-Statute-Does-Not-Criminalize-Gratuities CFTC Resolves First Action for Impeding Whistleblowers Over Objections of Two Commissioners https://www.lit-wc.aoshearman.com/CFTC-Resolves-First-Action-for-Impeding-Whistleblower Tue, 25 Jun 2024 05:57:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Resolves-First-Action-for-Impeding-Whistleblower SEC v. Panuwat - Northern District Of California Jury Endorses SEC's "Shadow Trading" Theory https://www.lit-wc.aoshearman.com/SEC-v-Panuwat-emndash-Northern-District Tue, 16 Apr 2024 20:20:00 GMT https://www.lit-wc.aoshearman.com/SEC-v-Panuwat-emndash-Northern-District SEC Achieves Jury Verdict In Cryptocurrency Fraud Case https://www.lit-wc.aoshearman.com/SEC-Achieves-Jury-Verdict-In-Cryptocurrency Tue, 16 Apr 2024 20:20:00 GMT https://www.lit-wc.aoshearman.com/SEC-Achieves-Jury-Verdict-In-Cryptocurrency DOJ Announces Plan To Pay Corporate Whistleblowers https://www.lit-wc.aoshearman.com/DOJ-Announces-Plan-To-Pay-Corporate-Whistleblower Tue, 26 Mar 2024 18:25:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Announces-Plan-To-Pay-Corporate-Whistleblower New York Attorney General Sues Beef Processing Company In "Greenwashing" Complaint Alleging The Company Publicized Unrealistic "Net Zero" Goals For Itself To Deceptively Promote Its Products And Company As Environmentally Friendly https://www.lit-wc.aoshearman.com/New-York-Attorney-General-Sues-Beef-Processing Tue, 26 Mar 2024 14:24:00 GMT https://www.lit-wc.aoshearman.com/New-York-Attorney-General-Sues-Beef-Processing Supreme Court Rules Whistleblowers Need Not Prove Retaliatory Intent Under SOX https://www.lit-wc.aoshearman.com/Supreme-Court-Rules-Whistleblowers-Need-Not-Prove-Retaliatory-Intent Tue, 13 Feb 2024 22:37:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-Rules-Whistleblowers-Need-Not-Prove-Retaliatory-Intent Historic Penalties For Cryptocurrency Exchange's AML-Related Violations https://www.lit-wc.aoshearman.com/Historic-Penalties-For-Cryptocurrency-Exchange-AML-Related-Violations Wed, 13 Dec 2023 18:42:00 GMT https://www.lit-wc.aoshearman.com/Historic-Penalties-For-Cryptocurrency-Exchange-AML-Related-Violations SEC Announces $25 Million Enforcement Action Over Company's Use Of Stock Buyback Plans That SEC Alleged Failed To Comply With Rule 10b5-1 https://www.lit-wc.aoshearman.com/SEC-Announces-25-Million-Enforcement-Action-Over-Company-Use-Of-Stock-Buyback-Plans Tue, 21 Nov 2023 16:06:00 GMT https://www.lit-wc.aoshearman.com/SEC-Announces-25-Million-Enforcement-Action-Over-Company-Use-Of-Stock-Buyback-Plans SEC Brings Groundbreaking Claims Against Company For Fraud Relating To Data Breach https://www.lit-wc.aoshearman.com/SEC-Brings-Groundbreaking-Claims-Against-Company-For-Fraud-Relating-To-Data-Breach Tue, 07 Nov 2023 18:32:00 GMT https://www.lit-wc.aoshearman.com/SEC-Brings-Groundbreaking-Claims-Against-Company-For-Fraud-Relating-To-Data-Breach CFTC Issues Advisory Guidelines On Civil Penalties, Monitors And Admissions https://www.lit-wc.aoshearman.com/CFTC-Issues-Advisory-Guidelines-On-Civil-Penalties-Monitors-And-Admissions Wed, 01 Nov 2023 16:53:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Issues-Advisory-Guidelines-On-Civil-Penalties-Monitors-And-Admissions SEC Sues Company For Unregistered Offerings Of NFTs https://www.lit-wc.aoshearman.com/SEC-Sues-Company-For-Unregistered-Offerings-Of-NFTs Wed, 11 Oct 2023 20:58:00 GMT https://www.lit-wc.aoshearman.com/SEC-Sues-Company-For-Unregistered-Offerings-Of-NFTs Nine Investment Firms Fined By The SEC For Marketing Rule Violations https://www.lit-wc.aoshearman.com/Nine-Investment-Firms-Fined-By-The-SEC-For-Marketing-Rule-Violations Wed, 11 Oct 2023 20:56:00 GMT https://www.lit-wc.aoshearman.com/Nine-Investment-Firms-Fined-By-The-SEC-For-Marketing-Rule-Violations SEC Announces Results Of Recent Enforcement Sweep Focused On Insider Ownership Reporting Failures https://www.lit-wc.aoshearman.com/SEC-Announces-Results-Of-Recent-Enforcement-Sweep-Focused-On-Insider-Ownership Wed, 11 Oct 2023 20:55:00 GMT https://www.lit-wc.aoshearman.com/SEC-Announces-Results-Of-Recent-Enforcement-Sweep-Focused-On-Insider-Ownership DOJ Announces Safe Harbor For Companies That Self-Disclose Misconduct Discovered During M&A https://www.lit-wc.aoshearman.com/DOJ-Announces-Safe-Harbor-For-Companies-That-Self-Disclose-Misconduct-Discovered Tue, 10 Oct 2023 21:52:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Announces-Safe-Harbor-For-Companies-That-Self-Disclose-Misconduct-Discovered Justice Department Announces New Corporate Enforcement Appointments In National Security Division https://www.lit-wc.aoshearman.com/Justice-Department-Announces-New-Corporate-Enforcement-Appointments-In-National-Security-Division Tue, 10 Oct 2023 17:24:00 GMT https://www.lit-wc.aoshearman.com/Justice-Department-Announces-New-Corporate-Enforcement-Appointments-In-National-Security-Division SEC Fines International Conglomerate $6.5 Million For FCPA Violations Related To Client Travel And Hospitality Expenses https://www.lit-wc.aoshearman.com/SEC-Fines-International-Conglomerate-6-point-5-Million-For-FCPA-Violations-Related-To-Client-Travel Wed, 06 Sep 2023 21:09:00 GMT https://www.lit-wc.aoshearman.com/SEC-Fines-International-Conglomerate-6-point-5-Million-For-FCPA-Violations-Related-To-Client-Travel Corficolombiana Pays $80M To Resolve Bribery Probes https://www.lit-wc.aoshearman.com/Corficolombiana-Pays-80-Million-To-Resolve-Bribery-Probes Wed, 16 Aug 2023 20:20:00 GMT https://www.lit-wc.aoshearman.com/Corficolombiana-Pays-80-Million-To-Resolve-Bribery-Probes In Denying Motion To Dismiss In Terraform Cryptocurrency Case, New York Federal Judge Rejects Key Aspects Of Ripple Ruling, Continuing Uncertainty On How Securities Law Applies To Cryptocurrencies https://www.lit-wc.aoshearman.com/In-Denying-Motion-To-Dismiss-In-Terraform-Cryptocurrency-Case-NY-Federal-Judge-Rejects Tue, 08 Aug 2023 19:16:00 GMT https://www.lit-wc.aoshearman.com/In-Denying-Motion-To-Dismiss-In-Terraform-Cryptocurrency-Case-NY-Federal-Judge-Rejects New York District Court Decides Significant Cryptocurrency Case, Holding That Whether Cryptocurrency Is A Security Turns On When And How It Was Sold https://www.lit-wc.aoshearman.com/New-York-District-Court-Decides-Significant-Cryptocurrency-Case Tue, 01 Aug 2023 22:33:00 GMT https://www.lit-wc.aoshearman.com/New-York-District-Court-Decides-Significant-Cryptocurrency-Case DC Circuit Enjoins FINRA Disciplinary Proceeding, Questions Constitutionality Of Hearing Officers https://www.lit-wc.aoshearman.com/DC-Circuit-Enjoins-FINRA-Disciplinary-Proceeding-Questions-Constitutionality Tue, 11 Jul 2023 20:09:00 GMT https://www.lit-wc.aoshearman.com/DC-Circuit-Enjoins-FINRA-Disciplinary-Proceeding-Questions-Constitutionality United States Supreme Court To Hear Appeal On SEC Power To Initiate Administrative Proceedings https://www.lit-wc.aoshearman.com/United-States-Supreme-Court-To-Hear-Appeal-On-SEC-Power-To-Initiate-Administrative-Proceedings Thu, 06 Jul 2023 16:52:00 GMT https://www.lit-wc.aoshearman.com/United-States-Supreme-Court-To-Hear-Appeal-On-SEC-Power-To-Initiate-Administrative-Proceedings FCPA Charges Dismissed Due To DOJ's Unduly Delayed Prosecution https://www.lit-wc.aoshearman.com/FCPA-Charges-Dismissed-Due-To-DOJ-Unduly-Delayed-Prosecution Tue, 13 Jun 2023 13:10:00 GMT https://www.lit-wc.aoshearman.com/FCPA-Charges-Dismissed-Due-To-DOJ-Unduly-Delayed-Prosecution Investment Adviser Fined $1.4 Million For Failure To Disclose SPAC Conflicts https://www.lit-wc.aoshearman.com/Investment-Adviser-Fined-1-Point-4-Million-For-Failure-To-Disclose-SPAC-Conflicts Tue, 13 Jun 2023 13:01:00 GMT https://www.lit-wc.aoshearman.com/Investment-Adviser-Fined-1-Point-4-Million-For-Failure-To-Disclose-SPAC-Conflicts Supreme Court Clarifies Scienter Standard For False Claims Act Liability https://www.lit-wc.aoshearman.com/Supreme-Court-Clarifies-Scienter-Standard-For-False-Claims-Act-Liability Wed, 07 Jun 2023 00:34:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-Clarifies-Scienter-Standard-For-False-Claims-Act-Liability Supreme Court And First Circuit Issue Decisions Reversing White Collar Convictions, Cautioning Against Prosecutorial Overreach In Honest Services Fraud Cases https://www.lit-wc.aoshearman.com/Supreme-Court-And-First-Circuit-Issue-Decisions-Reversing-White-Collar-Convictions Thu, 01 Jun 2023 15:30:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-And-First-Circuit-Issue-Decisions-Reversing-White-Collar-Convictions Dutch Company Settles Alleged FCPA Violations With SEC For $62M https://www.lit-wc.aoshearman.com/Dutch-Company-Settles-Alleged-FCPA-Violations-With-SEC-For-62M Thu, 01 Jun 2023 15:25:00 GMT https://www.lit-wc.aoshearman.com/Dutch-Company-Settles-Alleged-FCPA-Violations-With-SEC-For-62M Supreme Court To Review Second Circuit Decision On Whistleblower Retaliation https://www.lit-wc.aoshearman.com/Supreme-Court-to-Review-Second-Circuit-Decision-on-Whistleblower-Retaliation Tue, 09 May 2023 22:31:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-to-Review-Second-Circuit-Decision-on-Whistleblower-Retaliation Supreme Court Holds That Structural Challenges To Agency Administrative Proceedings May Be Brought Directly In Federal Court https://www.lit-wc.aoshearman.com/Supreme-Court-Holds-That-Structural-Challenges-To-Agency-Administrative-Proceedings Tue, 18 Apr 2023 22:32:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-Holds-That-Structural-Challenges-To-Agency-Administrative-Proceedings CFTC Charges Digital Asset Exchange And Its Founder With Violating The Commodity Exchange Act And Commission Regulations https://www.lit-wc.aoshearman.com/CFTC-Charges-Digital-Asset-Exchange-And-Its-Founder-With-Violating-Commodity-Exchange-Act Tue, 18 Apr 2023 18:30:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Charges-Digital-Asset-Exchange-And-Its-Founder-With-Violating-Commodity-Exchange-Act Brazilian Mining Company To Pay $55.9 Million To Settle SEC Charges Of Misleading ESG Disclosures https://www.lit-wc.aoshearman.com/Brazilian-Mining-Company-To-Pay-55-Million-To-Settle-SEC-Charges-Of-Misleading-ESG Tue, 18 Apr 2023 18:23:00 GMT https://www.lit-wc.aoshearman.com/Brazilian-Mining-Company-To-Pay-55-Million-To-Settle-SEC-Charges-Of-Misleading-ESG Telecommunications Company Agrees To Plead Guilty Following Alleged Breach Of 2019 Deferred Prosecution Agreement https://www.lit-wc.aoshearman.com/Telecommunications-Company-Agrees-To-Plead-Guilty-Following-Alleged-Breach-Of-2019 Fri, 24 Mar 2023 20:43:00 GMT https://www.lit-wc.aoshearman.com/Telecommunications-Company-Agrees-To-Plead-Guilty-Following-Alleged-Breach-Of-2019 DOJ And SEC Charge Individual For Insider Trading Through Use Of 10b5-1 Trading Plans https://www.lit-wc.aoshearman.com/DOJ-And-SEC-Charge-Individual-For-Insider-Trading-Through-Use-Of-10b5-1-Trading-Plans Fri, 24 Mar 2023 20:29:00 GMT https://www.lit-wc.aoshearman.com/DOJ-And-SEC-Charge-Individual-For-Insider-Trading-Through-Use-Of-10b5-1-Trading-Plans Sterling Bancorp Pleads Guilty To Criminal Securities Fraud https://www.lit-wc.aoshearman.com/Sterling-Bancorp-Pleads-Guilty-To-Criminal-Securities-Fraud Fri, 24 Mar 2023 20:20:00 GMT https://www.lit-wc.aoshearman.com/Sterling-Bancorp-Pleads-Guilty-To-Criminal-Securities-Fraud SEC Charged McDonald's For Public Disclosure Violations Related To The Board's Exercise Of Discretion Respecting The Former CEO's Termination And Charged The Former CEO For Fraud https://www.lit-wc.aoshearman.com/SEC-Charged-McDonalds-For-Public-Disclosure-Violations-Related-To-The-Board-Exercise-Of Tue, 28 Feb 2023 18:20:00 GMT https://www.lit-wc.aoshearman.com/SEC-Charged-McDonalds-For-Public-Disclosure-Violations-Related-To-The-Board-Exercise-Of United States Department Of Justice Issues Voluntary Self-Disclosure Policy Pursuant To Deputy Attorney General's September 15, 2022, Memorandum https://www.lit-wc.aoshearman.com/United-States-Department-Of-Justice-Issues-Voluntary-Self-Disclosure-Policy-Pursuant-To-Deputy Tue, 28 Feb 2023 18:04:00 GMT https://www.lit-wc.aoshearman.com/United-States-Department-Of-Justice-Issues-Voluntary-Self-Disclosure-Policy-Pursuant-To-Deputy SEC Brings Enforcement Action Over Company's Alleged Failure To Track Information About Workplace Misconduct Relevant To Risk Factor Disclosures About Employee Retention https://www.lit-wc.aoshearman.com/SEC-Brings-Enforcement-Action-Over-Companys-Alleged-Failure-To-Track-Information Tue, 14 Feb 2023 23:47:00 GMT https://www.lit-wc.aoshearman.com/SEC-Brings-Enforcement-Action-Over-Companys-Alleged-Failure-To-Track-Information DOJ Announces Revisions To The Criminal Division's Corporate Enforcement Policy https://www.lit-wc.aoshearman.com/DOJ-Announces-Revisions-To-The-Criminal-Divisions-Corporate-Enforcement-Policy Sat, 04 Feb 2023 02:15:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Announces-Revisions-To-The-Criminal-Divisions-Corporate-Enforcement-Policy DOJ And SEC Extend FCPA Monitorship For Telecom Company https://www.lit-wc.aoshearman.com/DOJ-And-SEC-Extend-FCPA-Monitorship-For-Telecom-Company Tue, 20 Dec 2022 16:07:00 GMT https://www.lit-wc.aoshearman.com/DOJ-And-SEC-Extend-FCPA-Monitorship-For-Telecom-Company SEC Announces Year-End Enforcement Results, Emphasizing Record-Setting Penalty Awards https://www.lit-wc.aoshearman.com/SEC-Announces-Year-End-Enforcement-Results-Emphasizing-Record-Setting-Penalty-Awards Tue, 22 Nov 2022 22:35:00 GMT https://www.lit-wc.aoshearman.com/SEC-Announces-Year-End-Enforcement-Results-Emphasizing-Record-Setting-Penalty-Awards CFTC Releases Its Annual Enforcement Results https://www.lit-wc.aoshearman.com/CFTC-Releases-Its-Annual-Enforcement-Results Tue, 01 Nov 2022 21:32:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Releases-Its-Annual-Enforcement-Results SEC And CFTC Orders Concerning Electronic Communications https://www.lit-wc.aoshearman.com/SEC-And-CFTC-Orders-Concerning-Electronic-Communications Tue, 11 Oct 2022 17:06:00 GMT https://www.lit-wc.aoshearman.com/SEC-And-CFTC-Orders-Concerning-Electronic-Communications The DOJ Reinforces And Updates Corporate Criminal Enforcement Priorities With Speech By Deputy Attorney General Lisa O. Monaco https://www.lit-wc.aoshearman.com/The-DOJ-Reinforces-And-Updates-Corporate-Criminal-Enforcement-Priorities-With-Speech Fri, 30 Sep 2022 18:09:00 GMT https://www.lit-wc.aoshearman.com/The-DOJ-Reinforces-And-Updates-Corporate-Criminal-Enforcement-Priorities-With-Speech SEC Brings Actions Against Underwriters In First-Ever Municipal Bond Disclosure Cases https://www.lit-wc.aoshearman.com/SEC-Brings-Actions-Against-Underwriters-In-First-Ever-Municipal-Bond-Disclosure-Cases Fri, 30 Sep 2022 17:50:00 GMT https://www.lit-wc.aoshearman.com/SEC-Brings-Actions-Against-Underwriters-In-First-Ever-Municipal-Bond-Disclosure-Cases SEC Brings Enforcement Action Against Investment Advisor For Allegedly Failing To Disclose Conflicts Of Interest In SPACs Into Which It Invested Client Funds https://www.lit-wc.aoshearman.com/SEC-Brings-Enforcement-Action-Against-Investment-Advisor-For-Allegedly-Failing-To-Disclose-Conflicts Thu, 15 Sep 2022 13:58:00 GMT https://www.lit-wc.aoshearman.com/SEC-Brings-Enforcement-Action-Against-Investment-Advisor-For-Allegedly-Failing-To-Disclose-Conflicts Second Circuit Overturns $1 Million Whistleblower Award For Improper Jury Instruction https://www.lit-wc.aoshearman.com/second-circuit-overturns-1-million-whistleblower-award-for-improper-jury-instruction Tue, 16 Aug 2022 19:50:00 GMT https://www.lit-wc.aoshearman.com/second-circuit-overturns-1-million-whistleblower-award-for-improper-jury-instruction New York Fines Crypto Trading Platform $30M In First-Ever DFS Crypto Settlement https://www.lit-wc.aoshearman.com/new-york-fines-crypto-trading-platform-30m-in-first-ever-dfs-crypto-settlement Tue, 16 Aug 2022 19:43:00 GMT https://www.lit-wc.aoshearman.com/new-york-fines-crypto-trading-platform-30m-in-first-ever-dfs-crypto-settlement SEC And DOJ Bring First Ever Charges For Cryptocurrency Insider Trading Tipping Scheme https://www.lit-wc.aoshearman.com/SEC-And-DOJ-Bring-First-Ever-Charges-For-Cryptocurrency-Insider-Trading-Tipping-Scheme Thu, 28 Jul 2022 15:42:00 GMT https://www.lit-wc.aoshearman.com/SEC-And-DOJ-Bring-First-Ever-Charges-For-Cryptocurrency-Insider-Trading-Tipping-Scheme Second Circuit Rejects SEC Request To Revisit Holding That "Scheme Liability" Requires Conduct Beyond Misstatements And Omissions https://www.lit-wc.aoshearman.com/Second-Circuit-Rejects-SEC-Request-To-Revisit-Holding-That-Scheme-Liability-Requires-Conduct Thu, 28 Jul 2022 15:27:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Rejects-SEC-Request-To-Revisit-Holding-That-Scheme-Liability-Requires-Conduct FINRA Fines Broker-Dealer $9 Million For Allegedly Attempting To Influence The Market For Offered Securities https://www.lit-wc.aoshearman.com/FINRA-Fines-Broker-Dealer-9-Million-For-Allegedly-Attempting-To-Influence Wed, 06 Jul 2022 19:59:00 GMT https://www.lit-wc.aoshearman.com/FINRA-Fines-Broker-Dealer-9-Million-For-Allegedly-Attempting-To-Influence SEC Brings Its First Regulation Best Interest Enforcement Action https://www.lit-wc.aoshearman.com/SEC-Brings-Its-First-Regulation-Best-Interest-Enforcement-Action Thu, 23 Jun 2022 19:27:00 GMT https://www.lit-wc.aoshearman.com/SEC-Brings-Its-First-Regulation-Best-Interest-Enforcement-Action SEC Brings Action Against Investment Advisers For Allegedly Misleading Robo-Adviser Clients About Hidden Fees https://www.lit-wc.aoshearman.com/SEC-Brings-Action-Against-Investment-Advisers-For-Allegedly-Misleading-Robo-Adviser-Clients Thu, 23 Jun 2022 17:04:00 GMT https://www.lit-wc.aoshearman.com/SEC-Brings-Action-Against-Investment-Advisers-For-Allegedly-Misleading-Robo-Adviser-Clients Glencore Pleads Guilty And Agrees To $1.1 Billion Penalty To Resolve Manipulation And Foreign Corruption Allegations https://www.lit-wc.aoshearman.com/Glencore-Pleads-Guilty-And-Agrees-To-1-Billion-Penalty-To-Resolve-Manipulation Thu, 02 Jun 2022 15:09:00 GMT https://www.lit-wc.aoshearman.com/Glencore-Pleads-Guilty-And-Agrees-To-1-Billion-Penalty-To-Resolve-Manipulation SEC ESG Fines Investment Adviser For Alleged ESG Misstatements In ESG Task Force's First Enforcement Resolution https://www.lit-wc.aoshearman.com/SEC-ESG-Fines-Investment-Adviser-For-Alleged-ESG-Misstatements-In-ESG-Task-Force Thu, 02 Jun 2022 15:01:00 GMT https://www.lit-wc.aoshearman.com/SEC-ESG-Fines-Investment-Adviser-For-Alleged-ESG-Misstatements-In-ESG-Task-Force Fifth Circuit Holds SEC Administrative Proceedings Are Unconstitutional https://www.lit-wc.aoshearman.com/Fifth-Circuit-Holds-SEC-Administrative-Proceedings-Are-Unconstitutional Tue, 24 May 2022 22:38:00 GMT https://www.lit-wc.aoshearman.com/Fifth-Circuit-Holds-SEC-Administrative-Proceedings-Are-Unconstitutional U.S. Investment Firm Enters $6 Billion Parallel Resolutions With DOJ And SEC Over Allegations Of Fraudulent Conduct By Employees And Related Control Failures https://www.lit-wc.aoshearman.com/US-Investment-Firm-Enters-6-Billion-Parallel-Resolutions-With-DOJ-And-SEC Tue, 24 May 2022 22:37:00 GMT https://www.lit-wc.aoshearman.com/US-Investment-Firm-Enters-6-Billion-Parallel-Resolutions-With-DOJ-And-SEC Jury Rejects SEC Fraud Claims Against Trader Accused Of Misstatements Over Pricing Commercial RMBS https://www.lit-wc.aoshearman.com/Jury-Rejects-SEC-Fraud-Claims-Against-Trader-Accused-Of-Misstatements-Over-Pricing Tue, 17 May 2022 16:01:00 GMT https://www.lit-wc.aoshearman.com/Jury-Rejects-SEC-Fraud-Claims-Against-Trader-Accused-Of-Misstatements-Over-Pricing OCC Issues Consent Order Against A Digital Bank https://www.lit-wc.aoshearman.com/OCC-Issues-Consent-Order-Against-A-Digital-Bank Wed, 04 May 2022 20:02:00 GMT https://www.lit-wc.aoshearman.com/OCC-Issues-Consent-Order-Against-A-Digital-Bank SEC Announces Settled Enforcement Action Alleging Management Of Earnings Figures To Meet Analyst Estimates https://www.lit-wc.aoshearman.com/SEC-Announces-Settled-Enforcement-Action-Alleging-Management-Of-Earnings-Figures Wed, 27 Apr 2022 14:53:00 GMT https://www.lit-wc.aoshearman.com/SEC-Announces-Settled-Enforcement-Action-Alleging-Management-Of-Earnings-Figures SEC Commissioner's Dissent Highlights Challenges In Responding To Whistleblowers https://www.lit-wc.aoshearman.com/SEC-Commissioner-Dissent-Highlights-Challenges-In-Responding-To-Whistleblowers Tue, 19 Apr 2022 15:16:00 GMT https://www.lit-wc.aoshearman.com/SEC-Commissioner-Dissent-Highlights-Challenges-In-Responding-To-Whistleblowers SEC Proposes New SPAC Disclosure Rules https://www.lit-wc.aoshearman.com/SEC-Proposes-New-SPAC-Disclosure-Rules Tue, 05 Apr 2022 17:28:00 GMT https://www.lit-wc.aoshearman.com/SEC-Proposes-New-SPAC-Disclosure-Rules FINRA Issues Regulatory Notice On The Scope Of Supervisor Liability For Chief Compliance Officers https://www.lit-wc.aoshearman.com/FINRA-Issues-Regulatory-Notice-On-The-Scope-Of-Supervisor-Liability Wed, 23 Mar 2022 14:14:00 GMT https://www.lit-wc.aoshearman.com/FINRA-Issues-Regulatory-Notice-On-The-Scope-Of-Supervisor-Liability U.S. Attorney General Announces Task Force To Target Russian Sanctions And Additional Resources For White Collar Enforcement https://www.lit-wc.aoshearman.com/US-Attorney-General-Announces-Task-Force-To-Target-Russian-Sanctions Tue, 08 Mar 2022 17:23:00 GMT https://www.lit-wc.aoshearman.com/US-Attorney-General-Announces-Task-Force-To-Target-Russian-Sanctions Sweeping New Sanctions: US, EU, UK And Other Countries Target Russia For Ukraine Invasion https://www.lit-wc.aoshearman.com/Sweeping-New-Sanctions-US-EU-UK-And-Other-Countries-Target-Russia-For-Ukraine-Invasion Tue, 01 Mar 2022 20:54:00 GMT https://www.lit-wc.aoshearman.com/Sweeping-New-Sanctions-US-EU-UK-And-Other-Countries-Target-Russia-For-Ukraine-Invasion SEC Announces Settled Insider Trading Action Against Former Director Of Investor Relations https://www.lit-wc.aoshearman.com/SEC-Announces-Settled-Insider-Trading-Action-Against-Former-Director Tue, 01 Mar 2022 18:00:00 GMT https://www.lit-wc.aoshearman.com/SEC-Announces-Settled-Insider-Trading-Action-Against-Former-Director Cryptocurrency Company Fined $100M In Novel Action Concerning Registration Obligations For Crypto Lending Product https://www.lit-wc.aoshearman.com/Cryptocurrency-Company-Fined-100M-In-Novel-Action-Concerning-Registration Thu, 24 Feb 2022 17:18:00 GMT https://www.lit-wc.aoshearman.com/Cryptocurrency-Company-Fined-100M-In-Novel-Action-Concerning-Registration Second Circuit Reverses Conviction Of Two Traders Accused Of LIBOR Rigging Scheme, Finding Insufficient Evidence Of False Or Fraudulent Statements https://www.lit-wc.aoshearman.com/Second-Circuit-Reverses-Conviction-Of-Two-Traders-Accused-Of-LIBOR-Rigging-Scheme Tue, 01 Feb 2022 15:57:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Reverses-Conviction-Of-Two-Traders-Accused-Of-LIBOR-Rigging-Scheme California District Court Allows Novel SEC Insider Trading Theory To Proceed https://www.lit-wc.aoshearman.com/California-District-Court-Allows-Novel-SEC-Insider-Trading-Theory-To-Proceed Wed, 19 Jan 2022 18:11:00 GMT https://www.lit-wc.aoshearman.com/California-District-Court-Allows-Novel-SEC-Insider-Trading-Theory-To-Proceed Company Acquired By SPAC Agrees To Pay $125 Million To Settle SEC Probe Months After CEO Was Charged With Fraud https://www.lit-wc.aoshearman.com/Company-Acquired-By-SPAC-Agrees-To-Pay-125-Million-To-Settle-SEC-Probe Tue, 11 Jan 2022 20:02:00 GMT https://www.lit-wc.aoshearman.com/Company-Acquired-By-SPAC-Agrees-To-Pay-125-Million-To-Settle-SEC-Probe Federal Court Dismisses SEC Insider Trading Case, Holding That Suspicious Trading Plus Evidence Of Relationship And Communications With Insider Are Insufficient Basis To Get To A Jury https://www.lit-wc.aoshearman.com/Federal-Court-Dismisses-SEC-Insider-Trading-Case-Holding-That-Suspicious-Trading Wed, 22 Dec 2021 00:15:00 GMT https://www.lit-wc.aoshearman.com/Federal-Court-Dismisses-SEC-Insider-Trading-Case-Holding-That-Suspicious-Trading SEC And CFTC Bring $200 Million Settled Action Against Financial Institution For Alleged Violations Of Record-Keeping Requirements Due To Employee Off-Platform Communications Including WhatsApp And Text Messages https://www.lit-wc.aoshearman.com/SEC-And-CFTC-Bring-200-Million-Settled-Action-Against-Financial-Institution-For-Alleged Wed, 22 Dec 2021 00:08:00 GMT https://www.lit-wc.aoshearman.com/SEC-And-CFTC-Bring-200-Million-Settled-Action-Against-Financial-Institution-For-Alleged SEC Enforcement In FY 2021 Included Significant Actions In Traditional And Emerging Areas And Over $1 Billion In Whistleblower Awards https://www.lit-wc.aoshearman.com/SEC-Enforcement-In-FY-2021-Included-Significant-Actions-In-Traditional-And-Emerging Wed, 24 Nov 2021 15:35:00 GMT https://www.lit-wc.aoshearman.com/SEC-Enforcement-In-FY-2021-Included-Significant-Actions-In-Traditional-And-Emerging Consulting Firm Settles Allegations That It Had Inadequate Procedures For Handling Of MNPI Between Units https://www.lit-wc.aoshearman.com/Consulting-Firm-Settles-Allegations-That-It-Had-Inadequate-Procedures Wed, 24 Nov 2021 15:12:00 GMT https://www.lit-wc.aoshearman.com/Consulting-Firm-Settles-Allegations-That-It-Had-Inadequate-Procedures DOJ Announces Major Policy Changes To How It Investigates And Prosecutes Corporate Crime, Signaling A Return To Tougher Enforcement And Individual Accountability https://www.lit-wc.aoshearman.com/DOJ-Announces-Major-Policy-Changes-To-How-It-Investigates-And-Prosecutes-Corporate-Crime Wed, 03 Nov 2021 20:25:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Announces-Major-Policy-Changes-To-How-It-Investigates-And-Prosecutes-Corporate-Crime CFTC Awards Record $200 Million To Whistleblower https://www.lit-wc.aoshearman.com/CFTC-Awards-Record-200-Million-To-Whistleblower Tue, 26 Oct 2021 20:40:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Awards-Record-200-Million-To-Whistleblower New York AG Demands Crypto Platforms Cease Operations https://www.lit-wc.aoshearman.com/New-York-AG-Demands-Crypto-Platforms-Cease-Operations Tue, 26 Oct 2021 20:35:00 GMT https://www.lit-wc.aoshearman.com/New-York-AG-Demands-Crypto-Platforms-Cease-Operations Comments At SEC Speaks Conference Suggest Heightened Bar For Cooperation Credit, Return Of Admissions Policy, And Increased Autonomy For Front-Line SEC Enforcement Staff https://www.lit-wc.aoshearman.com/Comments-At-SEC-Speaks-Conference-Suggest-Heightened-Bar-For-Cooperation-Credit Tue, 19 Oct 2021 19:41:00 GMT https://www.lit-wc.aoshearman.com/Comments-At-SEC-Speaks-Conference-Suggest-Heightened-Bar-For-Cooperation-Credit Department Of Justice Announces Enhanced Efforts Towards White-Collar Crime Enforcement And Creation Of National Cryptocurrency Enforcement Team https://www.lit-wc.aoshearman.com/Department-Of-Justice-Announces-Enhanced-Efforts-Towards-White-Collar-Crime-Enforcement Wed, 13 Oct 2021 18:07:00 GMT https://www.lit-wc.aoshearman.com/Department-Of-Justice-Announces-Enhanced-Efforts-Towards-White-Collar-Crime-Enforcement CFTC Fines Crypto Exchange That Offered Margin Trading For Failing To Register As FCM, Prompting Calls For Further Rulemaking From One Commissioner https://www.lit-wc.aoshearman.com/CFTC-Fines-Crypto-Exchange-That-Offered-Margin-Trading-For-Failing-To-Register-As-FCM Wed, 06 Oct 2021 20:15:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Fines-Crypto-Exchange-That-Offered-Margin-Trading-For-Failing-To-Register-As-FCM SEC Vacates $1.6 Million In FINRA Fines Against Broker-Dealer And Officers https://www.lit-wc.aoshearman.com/SEC-Vacates-1-6-Million-In-FINRA-Fines-Against-Broker-Dealer-And-Officers Wed, 29 Sep 2021 20:00:00 GMT https://www.lit-wc.aoshearman.com/SEC-Vacates-1-6-Million-In-FINRA-Fines-Against-Broker-Dealer-And-Officers SEC Brings Insider Trading Charges Based On Novel Theory https://www.lit-wc.aoshearman.com/SEC-Brings-Insider-Trading-Charges-Based-On-Novel-Theory Thu, 26 Aug 2021 18:42:00 GMT https://www.lit-wc.aoshearman.com/SEC-Brings-Insider-Trading-Charges-Based-On-Novel-Theory SEC Settles "First-Of-Its-Kind" Action Over "Decentralized Finance" Technology, Alleging Fraud And Unregistered Sales Of Securities https://www.lit-wc.aoshearman.com/SEC-Settles-First-Of-Its-Kind-Action-Over-Decentralized-Finance-Technology Thu, 19 Aug 2021 16:54:00 GMT https://www.lit-wc.aoshearman.com/SEC-Settles-First-Of-Its-Kind-Action-Over-Decentralized-Finance-Technology Cryptocurrency Derivatives Exchange Reaches $100 Million Settlement With CFTC, FinCEN https://www.lit-wc.aoshearman.com/Cryptocurrency-Derivatives-Exchange-Reaches-100M-Settlement-With-CFTC-FinCEN Thu, 19 Aug 2021 16:38:00 GMT https://www.lit-wc.aoshearman.com/Cryptocurrency-Derivatives-Exchange-Reaches-100M-Settlement-With-CFTC-FinCEN DOJ And SEC File Securities Fraud Charges Against Founder Of Company Acquired By A SPAC https://www.lit-wc.aoshearman.com/DOJ-And-SEC-File-Securities-Fraud-Charges-Against-Founder-Of-Company-Acquired Tue, 03 Aug 2021 23:05:00 GMT https://www.lit-wc.aoshearman.com/DOJ-And-SEC-File-Securities-Fraud-Charges-Against-Founder-Of-Company-Acquired Financial Institution Settles SEC Claims Related To Allegedly Unsuitable Investments In Complex Exchange-Traded Product https://www.lit-wc.aoshearman.com/Financial-Institution-Settles-SEC-Claims-Related-To-Allegedly-Unsuitable-Investments Wed, 28 Jul 2021 17:11:00 GMT https://www.lit-wc.aoshearman.com/Financial-Institution-Settles-SEC-Claims-Related-To-Allegedly-Unsuitable-Investments SEC Announces Settled Enforcement Action In Connection With SPAC Business Combination https://www.lit-wc.aoshearman.com/SEC-Announces-Settled-Enforcement-Action-In-Connection-With-SPAC-Business Tue, 20 Jul 2021 22:12:00 GMT https://www.lit-wc.aoshearman.com/SEC-Announces-Settled-Enforcement-Action-In-Connection-With-SPAC-Business FINRA Orders Record $70 Million Financial Penalty For Systemic Supervisory Failures https://www.lit-wc.aoshearman.com/FINRA-Orders-Record-70-Million-Financial-Penalty-For-Systemic-Supervisory-Failures Wed, 07 Jul 2021 17:21:00 GMT https://www.lit-wc.aoshearman.com/FINRA-Orders-Record-70-Million-Financial-Penalty-For-Systemic-Supervisory-Failures Supreme Court Resolves Circuit Split On Meaning Of "Exceeding Authorized Access" In The Computer Fraud And Abuse Act https://www.lit-wc.aoshearman.com/Supreme-Court-Resolves-Circuit-Split-On-Meaning-Of-Exceeding-Authorized-Access Tue, 08 Jun 2021 20:11:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-Resolves-Circuit-Split-On-Meaning-Of-Exceeding-Authorized-Access UK Court Orders Aerospace Corporation Subsidiary To Pay £30 Million In Saudi Corruption Case https://www.lit-wc.aoshearman.com/UK-Court-Orders-Aerospace-Corporation-Subsidiary-To-Pay Tue, 04 May 2021 21:30:00 GMT https://www.lit-wc.aoshearman.com/UK-Court-Orders-Aerospace-Corporation-Subsidiary-To-Pay Supreme Court Rolls Back FTC's Ability To Obtain Restitution And Disgorgement https://www.lit-wc.aoshearman.com/Supreme-Court-Rolls-Back-FTCrsquos-Ability-To-Obtain-Restitution Wed, 28 Apr 2021 19:56:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-Rolls-Back-FTCrsquos-Ability-To-Obtain-Restitution SEC Announces Second-Largest Whistleblower Award In Program's History https://www.lit-wc.aoshearman.com/SEC-Announces-Second-Largest-Whistleblower-Award- Tue, 20 Apr 2021 18:16:00 GMT https://www.lit-wc.aoshearman.com/SEC-Announces-Second-Largest-Whistleblower-Award- SEC Commissioner Calls For Revisiting Approach To Corporate Penalties https://www.lit-wc.aoshearman.com/SEC-Commissioner-Calls-For-Revisiting-Approach-To-Corporate-Penalties Tue, 23 Mar 2021 19:40:00 GMT https://www.lit-wc.aoshearman.com/SEC-Commissioner-Calls-For-Revisiting-Approach-To-Corporate-Penalties SEC's Whistleblowing Statistics Continue To Set Records Through Pandemic https://www.lit-wc.aoshearman.com/SECrsquos-Whistleblowing-Statistics-Continue-To-Set-Records-Through-Pandemic Wed, 17 Mar 2021 18:16:00 GMT https://www.lit-wc.aoshearman.com/SECrsquos-Whistleblowing-Statistics-Continue-To-Set-Records-Through-Pandemic SEC Announces New Enforcement Task Force On Climate And ESG https://www.lit-wc.aoshearman.com/SEC-Announces-New-Enforcement-Task-Force-On-Climate-And-ESG Tue, 09 Mar 2021 20:38:00 GMT https://www.lit-wc.aoshearman.com/SEC-Announces-New-Enforcement-Task-Force-On-Climate-And-ESG SEC's 2021 Examination Priorities Reveal Few Surprises https://www.lit-wc.aoshearman.com/SECs-2021-Examination-Priorities-Reveal-Few-Suprises Tue, 09 Mar 2021 20:34:00 GMT https://www.lit-wc.aoshearman.com/SECs-2021-Examination-Priorities-Reveal-Few-Suprises SEC Reverses Position On Accepting Settlement Offers Contingent On Waivers, Creating Once Again Risk That Defendants Will Be Forced To Make Settlement Decisions With Significant Uncertainty https://www.lit-wc.aoshearman.com/SEC-Reverses-Position-On-Accepting-Settlement-Offers-Contingent Thu, 18 Feb 2021 21:14:00 GMT https://www.lit-wc.aoshearman.com/SEC-Reverses-Position-On-Accepting-Settlement-Offers-Contingent SEC Reauthorizes Senior Enforcement Officials To Issue Formal Investigation Orders https://www.lit-wc.aoshearman.com/SEC-Reauthorizes-Senior-Enforcement-Officials-To-Issue Thu, 18 Feb 2021 21:13:00 GMT https://www.lit-wc.aoshearman.com/SEC-Reauthorizes-Senior-Enforcement-Officials-To-Issue DOJ And SEC Charge Biotech Consultant With Insider Trading, But SEC Passes On Seeking Disgorgement https://www.lit-wc.aoshearman.com/DOJ-And-SEC-Charge-Biotech-Consultant-With-Insider-Trading Thu, 18 Feb 2021 19:26:00 GMT https://www.lit-wc.aoshearman.com/DOJ-And-SEC-Charge-Biotech-Consultant-With-Insider-Trading United Kingdom Supreme Court Limits The Serious Fraud Office's Extra-Territorial Reach https://www.lit-wc.aoshearman.com/United-Kingdom-Supreme-Court-Limits-The-Serious-Fraud-Offices-Extra-Territorial-Reach Thu, 11 Feb 2021 23:39:00 GMT https://www.lit-wc.aoshearman.com/United-Kingdom-Supreme-Court-Limits-The-Serious-Fraud-Offices-Extra-Territorial-Reach SEC Invites Comment On Possible SEC Staff Participation In Undercover Fraud-Detection Program https://www.lit-wc.aoshearman.com/SEC-Invites-Comment-On-Possible-SEC-Staff-Participation-In-Undercover-Fraud Wed, 03 Feb 2021 19:26:00 GMT https://www.lit-wc.aoshearman.com/SEC-Invites-Comment-On-Possible-SEC-Staff-Participation-In-Undercover-Fraud FTC Secures Large Restitution Award In Shadow Of Pending AMG Capital https://www.lit-wc.aoshearman.com/FTC-Secures-Large-Restitution-Award-In-Shadow-Of-Pending-AMG-Capital Wed, 03 Feb 2021 19:20:00 GMT https://www.lit-wc.aoshearman.com/FTC-Secures-Large-Restitution-Award-In-Shadow-Of-Pending-AMG-Capital Supreme Court Vacates And Remands Blaszczak Insider Trading Decision, Providing Opportunity For Further Clarity By Second Circuit https://www.lit-wc.aoshearman.com/Supreme-Court-Vacates-And-Remands-Blaszczak-Insider-Trading-Decision Tue, 26 Jan 2021 20:03:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-Vacates-And-Remands-Blaszczak-Insider-Trading-Decision National Defense Authorization Act Passed Over President Trump's Veto Expands SEC's Disgorgement Authority And Reforms Anti-Money Laundering Laws https://www.lit-wc.aoshearman.com/National-Defense-Authorization-Act-Passed-Over-President-Trumps-Veto-Expands Wed, 13 Jan 2021 20:25:00 GMT https://www.lit-wc.aoshearman.com/National-Defense-Authorization-Act-Passed-Over-President-Trumps-Veto-Expands Broker-Dealer Settles SEC Claims Alleging Violations Of The Duty Of Best Execution And Related Misstatements https://www.lit-wc.aoshearman.com/Broker-Dealer-Settles-SEC-Claims-Alleging-Violations Tue, 22 Dec 2020 19:40:00 GMT https://www.lit-wc.aoshearman.com/Broker-Dealer-Settles-SEC-Claims-Alleging-Violations Public Company Settles with SEC Over Misleading COVID-19-Related Disclosures https://www.lit-wc.aoshearman.com/Public-Company-Settles-with-SEC-Over-Misleading-COVID-19 Tue, 08 Dec 2020 20:54:00 GMT https://www.lit-wc.aoshearman.com/Public-Company-Settles-with-SEC-Over-Misleading-COVID-19 Energy Company Agrees To Pay Over $150 Million To DOJ, CFTC, And Foreign Regulator To Resolve Coordinated FCPA Allegations https://www.lit-wc.aoshearman.com/Energy-Company-Agrees-To-Pay-Over-150-Million-To-DOJ-CFTC-And-Foreign-Regulator Tue, 08 Dec 2020 20:49:00 GMT https://www.lit-wc.aoshearman.com/Energy-Company-Agrees-To-Pay-Over-150-Million-To-DOJ-CFTC-And-Foreign-Regulator Motion To Dismiss Filed In Eastern District Of New York Case Could Provide Opportunity For Clarity On Scope Of FCPA's "Internal Accounting Controls" Provisions https://www.lit-wc.aoshearman.com/Motion-To-Dismiss-Filed-In-Eastern-District-Of-New-York-Case-Could-Provide-Opportunity Tue, 01 Dec 2020 18:35:00 GMT https://www.lit-wc.aoshearman.com/Motion-To-Dismiss-Filed-In-Eastern-District-Of-New-York-Case-Could-Provide-Opportunity Beverage Company Agrees To Pay $19.6 Million And Enter DPA To Resolve FCPA Charges With The DOJ, In Follow-Up To SEC Action That Had Starkly Different Tone https://www.lit-wc.aoshearman.com/Beverage-Company-Agrees-To-Pay-196-Million-And-Enter-DPA-To-Resolve-FCPA-Charges Tue, 03 Nov 2020 18:15:00 GMT https://www.lit-wc.aoshearman.com/Beverage-Company-Agrees-To-Pay-196-Million-And-Enter-DPA-To-Resolve-FCPA-Charges SEC Amends Its Whistleblower Award Program Rules https://www.lit-wc.aoshearman.com/SEC-Amends-Its-Whistleblower-Award-Program-Rules Tue, 20 Oct 2020 20:49:00 GMT https://www.lit-wc.aoshearman.com/SEC-Amends-Its-Whistleblower-Award-Program-Rules DOJ Issues FCPA Opinion Procedure Approving Legitimate Payments To Government Instrumentalities https://www.lit-wc.aoshearman.com/DOJ-Issues-FCPA-Opinion-Procedure-Approving-Legitimate-Payments Tue, 25 Aug 2020 18:57:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Issues-FCPA-Opinion-Procedure-Approving-Legitimate-Payments CFTC, SEC, And FINRA Settle AML-Related Charges With Broker-Dealer https://www.lit-wc.aoshearman.com/CFTC-SEC-And-FINRA-Settle-AML-Related-Charges-With-Broker-Dealer Tue, 18 Aug 2020 20:01:00 GMT https://www.lit-wc.aoshearman.com/CFTC-SEC-And-FINRA-Settle-AML-Related-Charges-With-Broker-Dealer Pennsylvania Manufacturing Company To Pay $824,314 To OFAC After Self-Appointing Two Monitors https://www.lit-wc.aoshearman.com/Pennsylvania-Manufacturing-Company-To-Pay-824314-To-OFAC Tue, 11 Aug 2020 18:20:00 GMT https://www.lit-wc.aoshearman.com/Pennsylvania-Manufacturing-Company-To-Pay-824314-To-OFAC Global Healthcare Company To Enter DPA, Pay $345 Million To DOJ And SEC, To Resolve FCPA Claims https://www.lit-wc.aoshearman.com/Global-Healthcare-Company-To-Enter-DPA-Pay-345-Million-To-DOJ-And-SEC Tue, 30 Jun 2020 19:17:00 GMT https://www.lit-wc.aoshearman.com/Global-Healthcare-Company-To-Enter-DPA-Pay-345-Million-To-DOJ-And-SEC Second Circuit Upholds Jury Conviction Of Two Officials In FIFA For Honest Services Fraud, Rejecting Extraterritoriality Challenge https://www.lit-wc.aoshearman.com/Second-Circuit-Upholds-Jury-Conviction-Of-Two-Officials-In-FIFA Tue, 30 Jun 2020 19:13:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Upholds-Jury-Conviction-Of-Two-Officials-In-FIFA Supreme Court In Liu Upholds SEC Ability To Seek Equitable Disgorgement Of Net Profits For Return To Victims, But Indicates Limits On Broader Disgorgement Theories https://www.lit-wc.aoshearman.com/Supreme-Court-In-Liu-Upholds-SEC-Ability-To-Seek-Equitable-Disgorgement Tue, 23 Jun 2020 16:22:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-In-Liu-Upholds-SEC-Ability-To-Seek-Equitable-Disgorgement DOJ Revises Guidance On Evaluation Of Corporate Compliance Programs https://www.lit-wc.aoshearman.com/DOJ-Revises-Guidance-On-Evaluation-Of-Corporate-Compliance-Programs Tue, 09 Jun 2020 18:45:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Revises-Guidance-On-Evaluation-Of-Corporate-Compliance-Programs CFTC Announces Updated Guidance On Civil Monetary Penalties https://www.lit-wc.aoshearman.com/CFTC-Announces-Updated-Guidance-On-Civil-Monetary-Penalties Mon, 01 Jun 2020 19:19:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Announces-Updated-Guidance-On-Civil-Monetary-Penalties Supreme Court Overturns Third Circuit, Throws Out Bridgegate Convictions https://www.lit-wc.aoshearman.com/Supreme-Court-Overturns-Third-Circuit-Throws-Out-Bridgegate-Convictions Tue, 12 May 2020 18:19:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-Overturns-Third-Circuit-Throws-Out-Bridgegate-Convictions Industrial Bank Settles AML Charges With U.S. And New York State Authorities https://www.lit-wc.aoshearman.com/Industrial-Bank-Settles-AML-Charges-With-US-And-New-York-State-Authorities Tue, 28 Apr 2020 16:28:00 GMT https://www.lit-wc.aoshearman.com/Industrial-Bank-Settles-AML-Charges-With-US-And-New-York-State-Authorities Co-Directors Of SEC's Division Of Enforcement Issue Statement On Market Integrity In Wake Of COVID-19 Emergency https://www.lit-wc.aoshearman.com/Co-Directors-Of-SECrsquos-Division-Of-Enforcement-Issue Thu, 02 Apr 2020 17:51:00 GMT https://www.lit-wc.aoshearman.com/Co-Directors-Of-SECrsquos-Division-Of-Enforcement-Issue United States Supreme Court Hears Oral Arguments In Liu v. SEC to Determine Whether the SEC Can Seek Disgorgement in Judicial Proceedings https://www.lit-wc.aoshearman.com/United-States-Supreme-Court-Hears-Oral-Arguments-In-Liu Wed, 11 Mar 2020 22:08:00 GMT https://www.lit-wc.aoshearman.com/United-States-Supreme-Court-Hears-Oral-Arguments-In-Liu SEC Reaches $8.8 Million Settlement With Pharmaceutical Company To Resolve Allegations Of FCPA Violations https://www.lit-wc.aoshearman.com/SEC-Reaches-88-Million-Settlement-With-Pharmaceutial-Company Wed, 11 Mar 2020 17:23:00 GMT https://www.lit-wc.aoshearman.com/SEC-Reaches-88-Million-Settlement-With-Pharmaceutial-Company Judge Grants Post-Trial Acquittal On FCPA Counts https://www.lit-wc.aoshearman.com/Judge-Grants-Post-Trial-Acquittal-On-FCPA-Counts Tue, 03 Mar 2020 19:57:00 GMT https://www.lit-wc.aoshearman.com/Judge-Grants-Post-Trial-Acquittal-On-FCPA-Counts Overview Of Cases Of Particular Interest Currently Pending Before The Supreme Court Of The United State https://www.lit-wc.aoshearman.com/Enforcement-Overview-Of-Cases-Of-Particular-Interest-Currently- Tue, 14 Jan 2020 19:16:00 GMT https://www.lit-wc.aoshearman.com/Enforcement-Overview-Of-Cases-Of-Particular-Interest-Currently- DOJ Offers Non-Prosecution Agreements And No-Fines For Self-Reporting Export Control And Sanctions Violations https://www.lit-wc.aoshearman.com/DOJ-Offers-Non-Prosecution-Agreements-And-No-Fines-For-Self-Reporting-Export-Control-And-Sanctions Tue, 07 Jan 2020 22:48:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Offers-Non-Prosecution-Agreements-And-No-Fines-For-Self-Reporting-Export-Control-And-Sanctions Second Circuit Reverses $18.5 Million Restitution Order For Lack Of Proximate Cause https://www.lit-wc.aoshearman.com/Second-Circuit-Reverses-185-Million-Restitution-Order Tue, 10 Dec 2019 16:21:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Reverses-185-Million-Restitution-Order Assistant Attorney General Brian A. Benczkowski Reviews FCPA Enforcement In 2019 https://www.lit-wc.aoshearman.com/Assistant-Attorney-General-Brian-A-Benczkowski-Reviews Tue, 10 Dec 2019 16:19:00 GMT https://www.lit-wc.aoshearman.com/Assistant-Attorney-General-Brian-A-Benczkowski-Reviews Korean Engineering Company Fined $75 Million Over Alleged Foreign Bribery Scheme In Brazil https://www.lit-wc.aoshearman.com/Korean-Engineering-Company-Fined-75-Million-Over- Tue, 03 Dec 2019 18:58:00 GMT https://www.lit-wc.aoshearman.com/Korean-Engineering-Company-Fined-75-Million-Over- Issuer And CEO Charged By The SEC With Fraud And Whistleblower Protection Law Violations For Allegedly Impeding Investor Complaints https://www.lit-wc.aoshearman.com/Issuer-And-CEO-Charged-By-The-SEC-With-Fraud-And- Tue, 12 Nov 2019 16:02:00 GMT https://www.lit-wc.aoshearman.com/Issuer-And-CEO-Charged-By-The-SEC-With-Fraud-And- CFTC Settlement In Kraft Unwound Due To Ineffectuality Of Confidentiality Provisions, Setting Up Possible Key Legal Rulings On Market Manipulation https://www.lit-wc.aoshearman.com/CFTC-Settlement-In-Kraft-Unwound-Due-To-Ineffectu Tue, 05 Nov 2019 19:50:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Settlement-In-Kraft-Unwound-Due-To-Ineffectu DOJ Introduces Guidance Over Inability-to-Pay Claims https://www.lit-wc.aoshearman.com/DOJ-Introduces-Guidance-Over-Inability-to-Pay-Cla Thu, 17 Oct 2019 20:12:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Introduces-Guidance-Over-Inability-to-Pay-Cla DOJ Charges Three Traders Under RICO In Alleged Spoofing Scheme https://www.lit-wc.aoshearman.com/DOJ-Charges-Three-Traders-Under-RICO-In-Alleged-Spoofing-Scheme Tue, 24 Sep 2019 20:37:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Charges-Three-Traders-Under-RICO-In-Alleged-Spoofing-Scheme Reargument Sought On Whether Shareholders Can Be Victims Of FCPA Violation For Purposes Of Criminal Restitution https://www.lit-wc.aoshearman.com/Reargument-Sought-On-Whether-Shareholders-Can-Be-Victims-Of-FCPA-Violation Tue, 17 Sep 2019 18:37:00 GMT https://www.lit-wc.aoshearman.com/Reargument-Sought-On-Whether-Shareholders-Can-Be-Victims-Of-FCPA-Violation Options Clearing Corporation Enters Into Settlements With SEC And CFTC Over Risk Management Policies https://www.lit-wc.aoshearman.com/Options-Clearing-Corporation-Enters-Into-Settlements-With-SEC-And-CFTC Tue, 10 Sep 2019 22:14:00 GMT https://www.lit-wc.aoshearman.com/Options-Clearing-Corporation-Enters-Into-Settlements-With-SEC-And-CFTC Second Circuit Limits The Application Of McDonnell v. United States And Declines To Extend The Potential Scope Of Liability In FCPA Cases https://www.lit-wc.aoshearman.com/Second-Circuit-Limits-The-Application-Of-McDonnel Tue, 13 Aug 2019 19:53:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Limits-The-Application-Of-McDonnel Technology Company Resolves DOJ And SEC FCPA Allegations, With Hungary Subsidiary Entering Three-Year, Monitor-Free NPA https://www.lit-wc.aoshearman.com/Technology-Company-Resolves-DOJ-And-SEC-FCPA-Alle Tue, 30 Jul 2019 15:31:00 GMT https://www.lit-wc.aoshearman.com/Technology-Company-Resolves-DOJ-And-SEC-FCPA-Alle FINRA Releases New Guidance On Extraordinary Cooperation Credit https://www.lit-wc.aoshearman.com/FINRA-Releases-New-Guidance-On-Extraordinary-Coop Tue, 23 Jul 2019 18:18:00 GMT https://www.lit-wc.aoshearman.com/FINRA-Releases-New-Guidance-On-Extraordinary-Coop In Significant Shift, SEC Will Consider Offers Of Settlement And Collateral Waiver Applications Together https://www.lit-wc.aoshearman.com/In-Significant-Shift-SEC-Will-Consider-Offers-Of-Settlement-And-Collateral-Waiver-Applications-Toget Tue, 09 Jul 2019 15:26:00 GMT https://www.lit-wc.aoshearman.com/In-Significant-Shift-SEC-Will-Consider-Offers-Of-Settlement-And-Collateral-Waiver-Applications-Toget French Oil And Gas Company And U.S. Subsidiary Fined $296 Million Over Alleged Foreign Bribery Schemes Involving Brazil And Iraq https://www.lit-wc.aoshearman.com/French-Oil-And-Gas-Company-And-US-Subsidiary-Fined Tue, 02 Jul 2019 16:50:00 GMT https://www.lit-wc.aoshearman.com/French-Oil-And-Gas-Company-And-US-Subsidiary-Fined SEC Files Contested Complaint Over Unregistered $100 Million Initial Coin Offering, In Case That Could Clarify Application Of Registration Requirements To Cryptocurrency https://www.lit-wc.aoshearman.com/SEC-Files-Contested-Complaint-Over-Unregistered-100-Million-Initial-Coin-Offering Tue, 11 Jun 2019 15:26:00 GMT https://www.lit-wc.aoshearman.com/SEC-Files-Contested-Complaint-Over-Unregistered-100-Million-Initial-Coin-Offering SEC Awards $3 Million To Two Whistleblowers Who First Made Internal Reports, Even Though Reporting To SEC Was Not "Voluntary" https://www.lit-wc.aoshearman.com/SEC-Awards-3-Million-To-Two-Whistleblowers-Who-First-Made-Internal-Reports Tue, 11 Jun 2019 15:10:00 GMT https://www.lit-wc.aoshearman.com/SEC-Awards-3-Million-To-Two-Whistleblowers-Who-First-Made-Internal-Reports D.C. Circuit Clarifies "Willfulness" Requirement For Investment Advisers Act Violations, In Decision With Possible Ramifications For SEC Sanction Authority https://www.lit-wc.aoshearman.com/DC-Circuit-Clarifies-ldquoWillfulnessrdquo-Requir Wed, 08 May 2019 00:37:00 GMT https://www.lit-wc.aoshearman.com/DC-Circuit-Clarifies-ldquoWillfulnessrdquo-Requir DOJ Criminal Division Announces Updated Corporate Compliance Program Guidance https://www.lit-wc.aoshearman.com/DOJ-Criminal-Division-Announces-Updated-Corporate Wed, 08 May 2019 00:36:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Criminal-Division-Announces-Updated-Corporate DOJ And SEC Announce Resolution Of FCPA Investigation That Spanned Over Fifteen Countries With NPA, Monitor, And Over $231 Million In Disgorgement And Fines https://www.lit-wc.aoshearman.com/DOJ-And-SEC-Announce-Resolution-Of-FCPA-Investigation-That-Spanned-Over-Fifteen-Countries Tue, 09 Apr 2019 18:07:00 GMT https://www.lit-wc.aoshearman.com/DOJ-And-SEC-Announce-Resolution-Of-FCPA-Investigation-That-Spanned-Over-Fifteen-Countries SEC Awards Total Of $50 Million To Two Whistleblowers In A Single Action, While Denying Five Other Claimants https://www.lit-wc.aoshearman.com/SEC-Awards-Total-Of-50-Million-To-Two-Whistleblowers-In-A-Single-Action Tue, 09 Apr 2019 18:06:00 GMT https://www.lit-wc.aoshearman.com/SEC-Awards-Total-Of-50-Million-To-Two-Whistleblowers-In-A-Single-Action SEC Settles Charges Against Investment Advisers And Returns $125 Million To Investors https://www.lit-wc.aoshearman.com/SEC-Settles-Charges-Against-Investment-Advisers Tue, 19 Mar 2019 16:09:00 GMT https://www.lit-wc.aoshearman.com/SEC-Settles-Charges-Against-Investment-Advisers DOJ Revises FCPA Corporate Enforcement Policy https://www.lit-wc.aoshearman.com/DOJ-Revises-FCPA-Corporate-Enforcement-Policy Tue, 19 Mar 2019 16:05:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Revises-FCPA-Corporate-Enforcement-Policy CFTC Announces Further Incentives For Self-Reporting, Cooperation For Unregistered Individuals And Entities, While Highlighting Focus On Foreign Corruption https://www.lit-wc.aoshearman.com/CFTC-Announces-Further-Incentives-For-Self-Reporting Tue, 12 Mar 2019 18:00:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Announces-Further-Incentives-For-Self-Reporting Telecommunications Provider & Subsidiary Enter Into Settlement, Deferred Prosecution Agreement And Plea Agreement With SEC And DOJ For FCPA Violations In Third Recent Enforcement Proceeding Involving Uzbek Telecommunications Market https://www.lit-wc.aoshearman.com/Telecommunications-Provider-amp-Subsidiary-Enter-Into-Settlement Tue, 12 Mar 2019 17:58:00 GMT https://www.lit-wc.aoshearman.com/Telecommunications-Provider-amp-Subsidiary-Enter-Into-Settlement Federal Judge Acquits Former FX Trader on Charges Related to Alleged Front-Running and Price Manipulation https://www.lit-wc.aoshearman.com/Federal-Judge-Acquits-Former-FX-Trader-on-Charges Tue, 12 Mar 2019 17:53:00 GMT https://www.lit-wc.aoshearman.com/Federal-Judge-Acquits-Former-FX-Trader-on-Charges CFTC Settles Spoofing Charges Against Trader Without Monetary Penalty https://www.lit-wc.aoshearman.com/CFTC-Settles-Spoofing-Charges-Against-Trader-Without-monetary Wed, 06 Mar 2019 01:50:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Settles-Spoofing-Charges-Against-Trader-Without-monetary CFTC Declines To Appeal Ruling That It Failed To Prove Artificiality In Market Manipulation Action https://www.lit-wc.aoshearman.com/CFTC-Declines-To-Appeal-Ruling-That-It-Failed-To- Tue, 05 Mar 2019 01:18:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Declines-To-Appeal-Ruling-That-It-Failed-To- Technology Services Company Enters Into FCPA Settlement With SEC, While SEC And DOJ Charge Two Former Executives With FCPA Violations https://www.lit-wc.aoshearman.com/Technology-Services-Company-Enters-Into-FCPA-Settlement Wed, 20 Feb 2019 15:45:00 GMT https://www.lit-wc.aoshearman.com/Technology-Services-Company-Enters-Into-FCPA-Settlement After Second Look, Judge Grants SEC Bid for Preliminary Injunction Halting Initial Coin Offering https://www.lit-wc.aoshearman.com/After-Second-Look-Judge-Grants-SEC-Bid-for-Preliminary Wed, 20 Feb 2019 15:40:00 GMT https://www.lit-wc.aoshearman.com/After-Second-Look-Judge-Grants-SEC-Bid-for-Preliminary Tenth Circuit Holds That Dodd-Frank Act Granted SEC Extraterritorial Authority https://www.lit-wc.aoshearman.com/Tenth-Circuit-Holds-That-Dodd-Frank-Act-Granted Mon, 11 Feb 2019 18:38:00 GMT https://www.lit-wc.aoshearman.com/Tenth-Circuit-Holds-That-Dodd-Frank-Act-Granted FINRA Issues 2019 Annual Risk Monitoring and Examination Priorities Letter, Highlighting Potential Areas Of Enforcement Risk https://www.lit-wc.aoshearman.com/FINRA-Issues-2019-Annual-Risk-Monitoring-and-Exam Tue, 29 Jan 2019 15:16:00 GMT https://www.lit-wc.aoshearman.com/FINRA-Issues-2019-Annual-Risk-Monitoring-and-Exam Second Circuit Re-Affirms Insider Trading Conviction Of Rajat Gupta https://www.lit-wc.aoshearman.com/Second-Circuit-Re-Affirms-Insider-Trading-Conviction-Rajat-Gupta Tue, 15 Jan 2019 18:42:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Re-Affirms-Insider-Trading-Conviction-Rajat-Gupta Rental Car Company Enters Into Settlement With The SEC Related To Alleged Accounting Errors https://www.lit-wc.aoshearman.com/Rental-Car-Company-Enters-Into-Settlement-With-The-SEC Tue, 08 Jan 2019 17:28:00 GMT https://www.lit-wc.aoshearman.com/Rental-Car-Company-Enters-Into-Settlement-With-The-SEC Fourth Depositary Bank Settles SEC Allegations Of Improper Handling Of Pre-Release ADRs https://www.lit-wc.aoshearman.com/Fourth-Depositary-Bank-Settles-SEC-Allegations-Of-Improper Tue, 08 Jan 2019 17:18:00 GMT https://www.lit-wc.aoshearman.com/Fourth-Depositary-Bank-Settles-SEC-Allegations-Of-Improper Following Bench Trial, Southern District Of New York Finds That CFTC Failed To Prove Artificiality And Enters Judgment For Defendants In Market Manipulation Action https://www.lit-wc.aoshearman.com/Following-Bench-Trial-Southern-District-Of-New-York Tue, 11 Dec 2018 19:38:00 GMT https://www.lit-wc.aoshearman.com/Following-Bench-Trial-Southern-District-Of-New-York Second Circuit Affirms Insider Trading Conviction And Vacates Restitution Order Of Sports Gambler Billy Walters https://www.lit-wc.aoshearman.com/Second-Circuit-Affirms-Insider-Trading-Conviction Tue, 11 Dec 2018 19:35:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Affirms-Insider-Trading-Conviction SEC Loses Bid For Preliminary Injunction Halting Initial Coin Offering After Judge Questions Whether It Involved Securities https://www.lit-wc.aoshearman.com/SEC-Loses-Bid-For-Preliminary-Injunction-Halting Wed, 05 Dec 2018 19:37:00 GMT https://www.lit-wc.aoshearman.com/SEC-Loses-Bid-For-Preliminary-Injunction-Halting OFAC Identifies Digital Currency Addresses Of Iran-Based Financial Facilitators, Highlighting Its Focus On Sanctions Compliance In Crypto Space https://www.lit-wc.aoshearman.com/OFAC-Identifies-Digital-Currency-Addresses-Of-Iran Wed, 05 Dec 2018 19:34:00 GMT https://www.lit-wc.aoshearman.com/OFAC-Identifies-Digital-Currency-Addresses-Of-Iran DOJ Scales Back Yates Memo Policy For Corporate Cooperation https://www.lit-wc.aoshearman.com/DOJ-Scales-Back-Yates-Memo-Policy-For-Corporate Wed, 05 Dec 2018 19:25:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Scales-Back-Yates-Memo-Policy-For-Corporate ICO Issuers Settle With The SEC Over Unregistered Coin Offerings https://www.lit-wc.aoshearman.com/ICO-Issuers-Settle-With-The-SEC-Over-Unregistered Tue, 20 Nov 2018 19:09:00 GMT https://www.lit-wc.aoshearman.com/ICO-Issuers-Settle-With-The-SEC-Over-Unregistered Bank Of England Imposes Personal Fines On Two Individuals For Failure To Disclose Ongoing Enforcement Actions https://www.lit-wc.aoshearman.com/Bank-Of-England-Imposes-Personal-Fines-On-Two-Individuals Tue, 13 Nov 2018 15:59:00 GMT https://www.lit-wc.aoshearman.com/Bank-Of-England-Imposes-Personal-Fines-On-Two-Individuals Second Circuit Court Of Appeals Reverses Investment Banker's Insider Trading Conviction https://www.lit-wc.aoshearman.com/Second-Circuit-Court-Of-Appeals-Reverses-Investment Tue, 13 Nov 2018 15:38:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Court-Of-Appeals-Reverses-Investment SEC Enforcement Division Releases Report On FY 2018, Highlighting Focus On Cyber And Efforts To Protect Retail Investors https://www.lit-wc.aoshearman.com/SEC-Enforcement-Division-Releases-Report-On-FY-2018 Tue, 06 Nov 2018 16:42:00 GMT https://www.lit-wc.aoshearman.com/SEC-Enforcement-Division-Releases-Report-On-FY-2018 DOJ Announces Updated Policy On Selection Of Corporate Monitors https://www.lit-wc.aoshearman.com/DOJ-Announces-Updated-Policy-On-Selection-Of-Corporate-Monitors Tue, 23 Oct 2018 14:36:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Announces-Updated-Policy-On-Selection-Of-Corporate-Monitors SEC Obtains Temporary Restraining Order Halting Initial Coin Offering https://www.lit-wc.aoshearman.com/SEC-Obtains-Temporary-Restraining-Order-Halting Tue, 16 Oct 2018 13:50:00 GMT https://www.lit-wc.aoshearman.com/SEC-Obtains-Temporary-Restraining-Order-Halting District Of Massachusetts Denies Motion To Dismiss, Finds Virtual Currency "My Big Coin" Is A Commodity Under Commodity Exchange Act https://www.lit-wc.aoshearman.com/District-Of-Massachusetts-Denies-Motion-To-Dismiss Tue, 09 Oct 2018 16:36:00 GMT https://www.lit-wc.aoshearman.com/District-Of-Massachusetts-Denies-Motion-To-Dismiss CFTC Brings New Insider Trading Case In Conjunction With Announcing Insider Trading Task Force https://www.lit-wc.aoshearman.com/CFTC-Brings-New-Insider-Trading-Case-In-Conjunction Tue, 09 Oct 2018 16:32:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Brings-New-Insider-Trading-Case-In-Conjunction Medical Device Manufacturer Enters Into Second FCPA Settlement In Five Years With SEC https://www.lit-wc.aoshearman.com/Medical-Device-Manufacturer-Enters-Into-Second-FCPA Tue, 09 Oct 2018 16:26:00 GMT https://www.lit-wc.aoshearman.com/Medical-Device-Manufacturer-Enters-Into-Second-FCPA Tesla, Musk Settle Tweet-Related SEC Charges https://www.lit-wc.aoshearman.com/Tesla-Musk-Settle-Tweet-Related-SEC-Charges Tue, 02 Oct 2018 19:14:00 GMT https://www.lit-wc.aoshearman.com/Tesla-Musk-Settle-Tweet-Related-SEC-Charges SEC Brings Enforcement Action Against Broker-Dealer For Deficient Cybersecurity Procedures https://www.lit-wc.aoshearman.com/SEC-Brings-Enforcement-Action-Against-Broker-Dealer-For-Deficient-Cybersecurity-Procedures Tue, 02 Oct 2018 19:14:00 GMT https://www.lit-wc.aoshearman.com/SEC-Brings-Enforcement-Action-Against-Broker-Dealer-For-Deficient-Cybersecurity-Procedures Significant Judicial And Enforcement Developments In The Cryptocurrency Space https://www.lit-wc.aoshearman.com/Significant-Judicial-And-Enforcement-Developments Tue, 18 Sep 2018 14:37:00 GMT https://www.lit-wc.aoshearman.com/Significant-Judicial-And-Enforcement-Developments Second Circuit Limits Extraterritorial Application of FCPA https://www.lit-wc.aoshearman.com/Second-Circuit-Limits-Extraterritorial-Application Wed, 05 Sep 2018 17:12:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Limits-Extraterritorial-Application SEC Charges Rating Agency With Internal Controls Failures And Ratings Symbols Deficiencies https://www.lit-wc.aoshearman.com/SEC-Charges-Rating-Agency-With-Internal-Controls Wed, 05 Sep 2018 17:00:00 GMT https://www.lit-wc.aoshearman.com/SEC-Charges-Rating-Agency-With-Internal-Controls SEC Lifts Post-Lucia Stay On Pending Administrative Proceedings And Announces Rehearings For Dozens Of Previously Heard Cases https://www.lit-wc.aoshearman.com/SEC-Lifts-Post-Lucia-Stay-On-Pending-Administrative Tue, 28 Aug 2018 16:18:00 GMT https://www.lit-wc.aoshearman.com/SEC-Lifts-Post-Lucia-Stay-On-Pending-Administrative FINRA Fines Broker-Dealer $5.5 Million For Violations Of Regulation SHO https://www.lit-wc.aoshearman.com/FINRA-Fines-Broker-Dealer-55-Million-For-Violations Tue, 28 Aug 2018 16:08:00 GMT https://www.lit-wc.aoshearman.com/FINRA-Fines-Broker-Dealer-55-Million-For-Violations Former Forex Trader Successfully Avoids Extradition From The UK Through Appeal To UK's High Court Of Justice https://www.lit-wc.aoshearman.com/Former-Forex-Trader-Successfully-Avoids-Extradition Tue, 14 Aug 2018 19:10:00 GMT https://www.lit-wc.aoshearman.com/Former-Forex-Trader-Successfully-Avoids-Extradition United States Moves To Dismiss Sole Remaining Charge In Long-Running Securities Fraud Case https://www.lit-wc.aoshearman.com/United-States-Moves-To-Dismiss-Sole-Remaining-Change Tue, 07 Aug 2018 19:34:00 GMT https://www.lit-wc.aoshearman.com/United-States-Moves-To-Dismiss-Sole-Remaining-Change Northern District Of California Certifies Class In Securities Stock Drop Suit, Finding That "In-and-Out" Traders Should Not Be Excluded From The Class Definition https://www.lit-wc.aoshearman.com/Northern-District-Of-California-Certifies-Class-I Tue, 31 Jul 2018 20:41:00 GMT https://www.lit-wc.aoshearman.com/Northern-District-Of-California-Certifies-Class-I SEC Announces Settled Enforcement Action Over Failure To Preserve Documents https://www.lit-wc.aoshearman.com/SEC-Announces-Settled-Enforcement-Action-Over-Failure-To-Preserve-Documents Tue, 24 Jul 2018 20:31:00 GMT https://www.lit-wc.aoshearman.com/SEC-Announces-Settled-Enforcement-Action-Over-Failure-To-Preserve-Documents SEC's FCPA Charges Against Executives Dismissed As Time-Barred https://www.lit-wc.aoshearman.com/SECrsquos-FCPA-Charges-Against-Executives-Dismiss Tue, 17 Jul 2018 17:03:00 GMT https://www.lit-wc.aoshearman.com/SECrsquos-FCPA-Charges-Against-Executives-Dismiss Company Settles With The SEC For Allegedly Failing To File Required Suspicious Activity Reports https://www.lit-wc.aoshearman.com/Company-Settles-With-The-SEC-For-Allegedly-Failing Tue, 10 Jul 2018 20:41:00 GMT https://www.lit-wc.aoshearman.com/Company-Settles-With-The-SEC-For-Allegedly-Failing SEC Settles FCPA Allegations Concerning Allegedly Improper Payments By Company's Indian Subsidiary https://www.lit-wc.aoshearman.com/SEC-Settles-FCPA-Allegations-Concerning-Allegedly Tue, 10 Jul 2018 19:01:00 GMT https://www.lit-wc.aoshearman.com/SEC-Settles-FCPA-Allegations-Concerning-Allegedly SEC Files Settled Action Concerning Accounting Issues That Led To A Restatement In 2014 https://www.lit-wc.aoshearman.com/SEC-Files-Settled-Action-Concerning-Accounting-Issues Tue, 10 Jul 2018 18:52:00 GMT https://www.lit-wc.aoshearman.com/SEC-Files-Settled-Action-Concerning-Accounting-Issues Supreme Court Requires Law Enforcement To Obtain Search Warrants Before Accessing Certain Cell Phone Location Data https://www.lit-wc.aoshearman.com/Supreme-Court-Requires-Law-Enforcement-To-Obtain- Wed, 04 Jul 2018 01:29:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-Requires-Law-Enforcement-To-Obtain- Second Circuit Amends Martoma And Reaffirms, But Arguably Still Weakens, Newman's "Meaningfully Close Personal Relationship" Test In Insider Trading Cases Involving Tips https://www.lit-wc.aoshearman.com/Second-Circuit-Amends-Martoma-And-Reaffirms-But-A Wed, 04 Jul 2018 01:23:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Amends-Martoma-And-Reaffirms-But-A SEC Proposes Amendments To Its Whistleblower Program https://www.lit-wc.aoshearman.com/SEC-Proposes-Amendments-To-Its-Whistleblower-Prog Wed, 04 Jul 2018 01:16:00 GMT https://www.lit-wc.aoshearman.com/SEC-Proposes-Amendments-To-Its-Whistleblower-Prog United States Supreme Court Reverses And Remands SEC Administrative Proceeding - Finding That SEC Administrative Law Judges Are Subject To The Appointments Clause Of The Constitution And Were Not Properly Appointed By The SEC https://www.lit-wc.aoshearman.com/United-States-Supreme-Court-Reverses-And-Remands Tue, 26 Jun 2018 20:42:00 GMT https://www.lit-wc.aoshearman.com/United-States-Supreme-Court-Reverses-And-Remands FINRA And SEC Fine Two Entities For Anti-Money Laundering Compliance Deficiencies And Other Violations https://www.lit-wc.aoshearman.com/FINRA-And-SEC-Fine-Two-Entities-For-Anti-Money-Laundering Tue, 22 May 2018 16:51:00 GMT https://www.lit-wc.aoshearman.com/FINRA-And-SEC-Fine-Two-Entities-For-Anti-Money-Laundering DOJ Announces Formalization Of Policy On Corporate Resolution Penalties https://www.lit-wc.aoshearman.com/DOJ-Announces-Formalization-Of-Policy-On-Corporate Tue, 15 May 2018 17:25:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Announces-Formalization-Of-Policy-On-Corporate Second Circuit Once Again Vacates Bond Trader Jesse Litvak's Conviction For Securities Fraud https://www.lit-wc.aoshearman.com/Second-Circuit-Once-Again-Vacates-Bond-Trader-Jesse Tue, 08 May 2018 17:45:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Once-Again-Vacates-Bond-Trader-Jesse SEC Issues $35 Million Fine For Alleged Failure To Disclose Data Breach https://www.lit-wc.aoshearman.com/SEC-Issues-35-Million-Fine-For-Alleged-Failure-To Tue, 01 May 2018 15:18:00 GMT https://www.lit-wc.aoshearman.com/SEC-Issues-35-Million-Fine-For-Alleged-Failure-To Connecticut Jury Acquits Former Trader Of Spoofing-Related Charges https://www.lit-wc.aoshearman.com/Connecticut-Jury-Acquits-Former-Trader-Of-Spoofing Tue, 01 May 2018 15:16:00 GMT https://www.lit-wc.aoshearman.com/Connecticut-Jury-Acquits-Former-Trader-Of-Spoofing The Supreme Court Dismisses As Moot Microsoft Case That Had Challenged The Government's Ability To Obtain Search Warrant For Electronic Data Stored Abroad https://www.lit-wc.aoshearman.com/The-Supreme-Court-Dismisses-As-Moot-Microsoft-Cas Tue, 24 Apr 2018 15:46:00 GMT https://www.lit-wc.aoshearman.com/The-Supreme-Court-Dismisses-As-Moot-Microsoft-Cas SEC, Under New Safe Harbor, Awards More Than $2.2 Million To Whistleblower Who First Reported To Another Federal Agency https://www.lit-wc.aoshearman.com/SEC-Under-New-Safe-Harbor-Awards-More-Than-2-Million Tue, 17 Apr 2018 20:31:00 GMT https://www.lit-wc.aoshearman.com/SEC-Under-New-Safe-Harbor-Awards-More-Than-2-Million Criminal And Civil Charges Filed In Connection With Initial Coin Offering By Centra Tech https://www.lit-wc.aoshearman.com/Criminal-And-Civil-Charges-Filed-In-Connection-Wi Tue, 10 Apr 2018 20:20:00 GMT https://www.lit-wc.aoshearman.com/Criminal-And-Civil-Charges-Filed-In-Connection-Wi SEC And FINRA Fine Broker-Dealer, CEO, And Compliance Officer For Failing To File Suspicious Activity Reports https://www.lit-wc.aoshearman.com/SEC-And-FINRA-Fine-Broker-Dealer-CEO-And-Compliance Tue, 03 Apr 2018 19:03:00 GMT https://www.lit-wc.aoshearman.com/SEC-And-FINRA-Fine-Broker-Dealer-CEO-And-Compliance Record-Breaking Whistleblowing Awards Continue Incentives To Report Misconduct To The SEC https://www.lit-wc.aoshearman.com/Record-Breaking-Whistleblowing-Awards-Continue-Incentives Tue, 27 Mar 2018 21:08:00 GMT https://www.lit-wc.aoshearman.com/Record-Breaking-Whistleblowing-Awards-Continue-Incentives FBI Director States That Companies That Suffer Data Breaches Will Be Treated As Victims For Law Enforcement Purposes https://www.lit-wc.aoshearman.com/FBI-Director-States-That-Companies-That-Suffer-Data Tue, 20 Mar 2018 17:32:00 GMT https://www.lit-wc.aoshearman.com/FBI-Director-States-That-Companies-That-Suffer-Data SEC Levies $18 Million Fine On NYSE And Affiliated Exchanges For Alleged Securities Act And Exchange Act Violations https://www.lit-wc.aoshearman.com/SEC-Levies-18-Million-Fine-On-NYSE-And-Affiliated Tue, 13 Mar 2018 13:53:00 GMT https://www.lit-wc.aoshearman.com/SEC-Levies-18-Million-Fine-On-NYSE-And-Affiliated DOJ Announces Intent To Apply Principles From FCPA Corporate Enforcement Policy To Other White Collar Contexts https://www.lit-wc.aoshearman.com/DOJ-Announces-Intent-To-Apply-Principles-From-FCPA Tue, 13 Mar 2018 13:52:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Announces-Intent-To-Apply-Principles-From-FCPA Eastern District Of New York Grants Preliminary Injunction In Opinion Backing CFTC's Authority To Regulate Cryptocurrency https://www.lit-wc.aoshearman.com/Eastern-District-Of-New-York-Grants-Preliminary-I Tue, 13 Mar 2018 13:50:00 GMT https://www.lit-wc.aoshearman.com/Eastern-District-Of-New-York-Grants-Preliminary-I The Supreme Court Hears Oral Arguments In United States v. Microsoft https://www.lit-wc.aoshearman.com/The-Supreme-Court-Hears-Oral-Arguments-In-United-v-Microsoft Tue, 06 Mar 2018 18:56:00 GMT https://www.lit-wc.aoshearman.com/The-Supreme-Court-Hears-Oral-Arguments-In-United-v-Microsoft Supreme Court Finds Dodd-Frank Does Not Protect Internal Whistleblowers https://www.lit-wc.aoshearman.com/Supreme-Court-Finds-Dodd-Frank-Does-Not-Protect-Internal Tue, 27 Feb 2018 21:33:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-Finds-Dodd-Frank-Does-Not-Protect-Internal Third Circuit Vacates Insider Trading Sentence Based In Part On Third-Party's Trading https://www.lit-wc.aoshearman.com/Third-Circuit-Vacates-Insider-Trading-Sentence-Based Tue, 27 Feb 2018 21:31:00 GMT https://www.lit-wc.aoshearman.com/Third-Circuit-Vacates-Insider-Trading-Sentence-Based U.S. Subsidiary Of Dutch Bank Pleads Guilty To Allegations That It Conspired To Obstruct OCC Examination Of AML Program https://www.lit-wc.aoshearman.com/US-Subsidiary-Of-Dutch-Bank-Pleads-Guilty-To-Allegations Tue, 13 Feb 2018 20:00:00 GMT https://www.lit-wc.aoshearman.com/US-Subsidiary-Of-Dutch-Bank-Pleads-Guilty-To-Allegations DOJ And CFTC Recent Actions Highlight Their Increased Focus On "Spoofing" https://www.lit-wc.aoshearman.com/DOJ-And-CFTC-Recent-Actions-Highlight-Their-Incre Tue, 06 Feb 2018 20:34:00 GMT https://www.lit-wc.aoshearman.com/DOJ-And-CFTC-Recent-Actions-Highlight-Their-Incre PCAOB And Accounting Firm Employees Charged With Misuse Of Confidential Data To Improve Firm's Inspection Results https://www.lit-wc.aoshearman.com/PCAOB-And-Accounting-Firm-Employees-Charged-With- Tue, 30 Jan 2018 18:18:00 GMT https://www.lit-wc.aoshearman.com/PCAOB-And-Accounting-Firm-Employees-Charged-With- HSBC Enters Into Deferred Prosecution Agreement To Settle Charges Arising From Traders' Alleged FX Front-Running https://www.lit-wc.aoshearman.com/HSBC-Enters-Into-Deferred-Prosecution-Agreement-T Tue, 30 Jan 2018 18:15:00 GMT https://www.lit-wc.aoshearman.com/HSBC-Enters-Into-Deferred-Prosecution-Agreement-T U.S. Supreme Court To Review Ex-CEO's Appeal Regarding Restitution Of Legal Fees Associated With An Internal Investigation https://www.lit-wc.aoshearman.com/US-Supreme-Court-To-Review-Ex-CEOrsquos-Appeal-Re Tue, 23 Jan 2018 17:17:00 GMT https://www.lit-wc.aoshearman.com/US-Supreme-Court-To-Review-Ex-CEOrsquos-Appeal-Re The Supreme Court Agrees To Review Appointment Requirements For SEC's In-House Judges https://www.lit-wc.aoshearman.com/The-Supreme-Court-Agrees-To-Review-Appointment-Re Wed, 17 Jan 2018 18:52:00 GMT https://www.lit-wc.aoshearman.com/The-Supreme-Court-Agrees-To-Review-Appointment-Re SEC Charges Advisory Firm For Breaches Of Fiduciary Duties https://www.lit-wc.aoshearman.com/SEC-Charges-Advisory-Firm-For-Breaches-Of-Fiducia Tue, 19 Dec 2017 20:16:00 GMT https://www.lit-wc.aoshearman.com/SEC-Charges-Advisory-Firm-For-Breaches-Of-Fiducia In Reversal, SEC Agrees That Its Administrative Law Judges Are Inferior Officers That Require Commission Appointment, But Still Seeks Supreme Court Review To Resolve Circuit Split https://www.lit-wc.aoshearman.com/In-Reversal-SEC-Agrees-That-Its-Administrative-La Tue, 12 Dec 2017 18:40:00 GMT https://www.lit-wc.aoshearman.com/In-Reversal-SEC-Agrees-That-Its-Administrative-La DOJ Announces DPA And Guilty Plea Involving Netherlands-Based Energy Services Firm That DOJ Claims Failed To Promptly Report Alleged FCPA Violations https://www.lit-wc.aoshearman.com/DOJ-Announces-DPA-And-Guilty-Plea-Involving-Nethe Tue, 12 Dec 2017 18:37:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Announces-DPA-And-Guilty-Plea-Involving-Nethe SEC Announces Cease-and-Desist Order Against Couple And Their Respective Hedge Funds Over Sharing Of Confidential Strategies From Another Fund https://www.lit-wc.aoshearman.com/SEC-Announces-Cease-and-Desist-Order-Against-Coup Tue, 12 Dec 2017 18:35:00 GMT https://www.lit-wc.aoshearman.com/SEC-Announces-Cease-and-Desist-Order-Against-Coup Supreme Court Oral Argument Suggests Skepticism Over SEC Rule Protecting Internal Whistleblowers From Retaliation Under Dodd-Frank https://www.lit-wc.aoshearman.com/Supreme-Court-Oral-Argument-Suggests-Skepticism-O Tue, 05 Dec 2017 18:15:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-Oral-Argument-Suggests-Skepticism-O Deputy Attorney General Rod Rosenstein Announces Revised FCPA Corporate Enforcement Policy https://www.lit-wc.aoshearman.com/Deputy-Attorney-General-Rod-Rosenstein-Announces- Tue, 05 Dec 2017 18:14:00 GMT https://www.lit-wc.aoshearman.com/Deputy-Attorney-General-Rod-Rosenstein-Announces- Bank Of Tokyo Mitsubishi Sues DFS And Alleges That DFS Has No Investigatory Or Enforcement Authority Over It Since It Is Now Federally Licensed https://www.lit-wc.aoshearman.com/Bank-Of-Tokyo-Mitsubishi-Sues-DFS-And-Alleges-Tha Tue, 21 Nov 2017 21:35:00 GMT https://www.lit-wc.aoshearman.com/Bank-Of-Tokyo-Mitsubishi-Sues-DFS-And-Alleges-Tha Charges Unsealed Against Five Individuals, Including Two Executives, In Foreign Bribery Scheme Involving Rolls-Royce https://www.lit-wc.aoshearman.com/Charges-Unsealed-Against-Five-Individuals-Includi Tue, 14 Nov 2017 19:46:00 GMT https://www.lit-wc.aoshearman.com/Charges-Unsealed-Against-Five-Individuals-Includi CFTC Fines Cargill $10 Million For Misreporting Swap Trades https://www.lit-wc.aoshearman.com/CFTC-Fines-Cargill-10-Million-For-Misreporting-Sw Tue, 14 Nov 2017 19:45:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Fines-Cargill-10-Million-For-Misreporting-Sw D.C. District Court Compels Former Lawyer To President Trump's Campaign Manager To Answer Special Counsel's Questions Regarding Aspects Of Her Prior Representation—Finding That Scope Of Special Counsel's Inquiry Falls Within "Crime-Fraud" And Other Exceptions To Applicable Privileges https://www.lit-wc.aoshearman.com/DC-District-Court-Compels-Former-Lawyer-To-Presid Tue, 07 Nov 2017 17:58:00 GMT https://www.lit-wc.aoshearman.com/DC-District-Court-Compels-Former-Lawyer-To-Presid Forex Trader Found Guilty Of Defrauding Client https://www.lit-wc.aoshearman.com/Forex-Trader-Found-Guilty-Of-Defrauding-Clientnbs Tue, 31 Oct 2017 17:30:00 GMT https://www.lit-wc.aoshearman.com/Forex-Trader-Found-Guilty-Of-Defrauding-Clientnbs CFTC Imposes Sanctions On A Proprietary Trading Firm For Spoofing The Market https://www.lit-wc.aoshearman.com/CFTC-Imposes-Sanctions-On-A-Proprietary-Trading-F Tue, 24 Oct 2017 20:49:00 GMT https://www.lit-wc.aoshearman.com/CFTC-Imposes-Sanctions-On-A-Proprietary-Trading-F D.C. Circuit Applies Janus To Set Aside SEC Sanctions Against Investment Banker https://www.lit-wc.aoshearman.com/DC-Circuit-Applies-Janus-To-Set-Aside-SEC-Sanctions Tue, 10 Oct 2017 17:52:00 GMT https://www.lit-wc.aoshearman.com/DC-Circuit-Applies-Janus-To-Set-Aside-SEC-Sanctions SEC's ALJ Dismisses Fraud Charges In High-Profile Lynn Tilton Case https://www.lit-wc.aoshearman.com/SECrsquos-ALJ-Dismisses-Fraud-Charges-In-High-Pro Wed, 04 Oct 2017 00:04:00 GMT https://www.lit-wc.aoshearman.com/SECrsquos-ALJ-Dismisses-Fraud-Charges-In-High-Pro Second Circuit Overturns Convictions Of Former Senate Majority Leader Dean Skelos And His Son Based On Supreme Court's McDonnell Decision https://www.lit-wc.aoshearman.com/Second-Circuit-Overturns-Convictions-Of-Former-Se Tue, 03 Oct 2017 23:59:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Overturns-Convictions-Of-Former-Se DOJ And SEC Bring Major FCPA Enforcement Actions Against Swedish Telecom Firm, Imposing One Of Largest FCPA Penalties In History https://www.lit-wc.aoshearman.com/DOJ-And-SEC-Bring-Major-FCPA-Enforcement-Actions- Tue, 26 Sep 2017 18:48:00 GMT https://www.lit-wc.aoshearman.com/DOJ-And-SEC-Bring-Major-FCPA-Enforcement-Actions- SEC Files Administrative Proceeding Against An Investment Services Firm For Improperly Recommending Higher-Fee Mutual Funds To Investment Clients https://www.lit-wc.aoshearman.com/SEC-Files-Administrative-Proceeding-Against-An-In Mon, 18 Sep 2017 17:23:00 GMT https://www.lit-wc.aoshearman.com/SEC-Files-Administrative-Proceeding-Against-An-In Divided Second Circuit Panel Abandons Relationship Test From Landmark Newman Decision In Upholding Insider Trading Conviction https://www.lit-wc.aoshearman.com/Divided-Second-Circuit-Panel-Abandons-Relationshi Tue, 29 Aug 2017 20:13:00 GMT https://www.lit-wc.aoshearman.com/Divided-Second-Circuit-Panel-Abandons-Relationshi A Second Broker-Dealer Settles SEC Allegations Over Improper Handling Of Pre-Released ADRs https://www.lit-wc.aoshearman.com/A-Second-Broker-Dealer-Settles-SEC-Allegations-Ov Tue, 29 Aug 2017 20:09:00 GMT https://www.lit-wc.aoshearman.com/A-Second-Broker-Dealer-Settles-SEC-Allegations-Ov Audit Firm And Engagement Partner Settle SEC Allegations Stemming From 2011 Audit Of A New Client https://www.lit-wc.aoshearman.com/Audit-Firm-And-Engagement-Partner-Settle-SEC-Alle Tue, 22 Aug 2017 18:28:00 GMT https://www.lit-wc.aoshearman.com/Audit-Firm-And-Engagement-Partner-Settle-SEC-Alle Seventh Circuit Upholds First Spoofing Conviction Against High-Frequency Trader https://www.lit-wc.aoshearman.com/Seventh-Circuit-Upholds-First-Spoofing-Conviction Tue, 15 Aug 2017 17:23:00 GMT https://www.lit-wc.aoshearman.com/Seventh-Circuit-Upholds-First-Spoofing-Conviction Government Dismisses All Charges In Benjamin Wey Securities Fraud Case After U.S. District Judge Suppresses All Evidence Obtained Pursuant To Search Warrant https://www.lit-wc.aoshearman.com/Government-Dismisses-All-Charges-In-Benjamin-Wey- Tue, 15 Aug 2017 17:20:00 GMT https://www.lit-wc.aoshearman.com/Government-Dismisses-All-Charges-In-Benjamin-Wey- Investment Adviser Settles SEC Allegations Over Directing Clients To High-Fee Mutual Fund Share Classes https://www.lit-wc.aoshearman.com/Investment-Adviser-Settles-SEC-Allegations-Over-D Tue, 08 Aug 2017 17:08:00 GMT https://www.lit-wc.aoshearman.com/Investment-Adviser-Settles-SEC-Allegations-Over-D DOJ And SEC File Parallel Criminal And Civil Insider Trading Charges Against Scientist Who Conducted Internet Searches On How To Avoid SEC Detection https://www.lit-wc.aoshearman.com/DOJ-And-SEC-File-Parallel-Criminal-And-Civil-Insi Tue, 01 Aug 2017 17:31:00 GMT https://www.lit-wc.aoshearman.com/DOJ-And-SEC-File-Parallel-Criminal-And-Civil-Insi SEC Brings First Corporate FCPA Enforcement Action Under Its New Leadership https://www.lit-wc.aoshearman.com/SEC-Brings-First-Corporate-FCPA-Enforcement-Actio Tue, 01 Aug 2017 17:28:00 GMT https://www.lit-wc.aoshearman.com/SEC-Brings-First-Corporate-FCPA-Enforcement-Actio Second Circuit Overturns Convictions, Dismisses Indictments In LIBOR Case Due To Taint Of Testimony Compelled By Foreign Government https://www.lit-wc.aoshearman.com/Second-Circuit-Overturns-Convictions-Dismisses-In Tue, 25 Jul 2017 16:15:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Overturns-Convictions-Dismisses-In Second Circuit Finds That HSBC Monitor's Reports Need Not Be Publicly Disclosed https://www.lit-wc.aoshearman.com/Second-Circuit-Finds-That-HSBC-Monitorrsquos-Repo Tue, 18 Jul 2017 17:40:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Finds-That-HSBC-Monitorrsquos-Repo The Second Circuit Overturns Watershed Conviction Of Sheldon Silver Based On Recent Supreme Court Decision https://www.lit-wc.aoshearman.com/The-Second-Circuit-Overturns-Watershed-Conviction Tue, 18 Jul 2017 17:39:00 GMT https://www.lit-wc.aoshearman.com/The-Second-Circuit-Overturns-Watershed-Conviction Fourth Declination With Disgorgement Announced Under FCPA Pilot Program https://www.lit-wc.aoshearman.com/Fourth-Declination-With-Disgorgement-Announced-Un Tue, 11 Jul 2017 20:56:00 GMT https://www.lit-wc.aoshearman.com/Fourth-Declination-With-Disgorgement-Announced-Un Eighth Circuit Vacates Disgorgement Order As Time-Barred Under Kokesh But Leaves Injunction Undisturbed https://www.lit-wc.aoshearman.com/Eighth-Circuit-Vacates-Disgorgement-Order-As-Time Tue, 11 Jul 2017 20:54:00 GMT https://www.lit-wc.aoshearman.com/Eighth-Circuit-Vacates-Disgorgement-Order-As-Time Bond Traders Beat Most Charges In RMBS Fraud Case https://www.lit-wc.aoshearman.com/Bond-Traders-Beat-Most-Charges-In-RMBS-Fraud-Case Tue, 27 Jun 2017 17:23:00 GMT https://www.lit-wc.aoshearman.com/Bond-Traders-Beat-Most-Charges-In-RMBS-Fraud-Case United States Supreme Court Holds SEC Disgorgement Orders Subject To Five-Year Statute Of Limitations https://www.lit-wc.aoshearman.com/United-States-Supreme-Court-Holds-SEC-Disgorgemen Fri, 16 Jun 2017 16:26:00 GMT https://www.lit-wc.aoshearman.com/United-States-Supreme-Court-Holds-SEC-Disgorgemen Supreme Court Of The United States Finds Criminal Forfeiture Statute Does Not Provide For Joint And Several Liability https://www.lit-wc.aoshearman.com/Supreme-Court-Of-The-United-States-Finds-Criminal Fri, 16 Jun 2017 16:26:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-Of-The-United-States-Finds-Criminal More Bond Traders Sued By The SEC For Alleged Fraudulent Misrepresentations Relating To MBS Prices https://www.lit-wc.aoshearman.com/More-Bond-Traders-Sued-By-The-SEC-For-Alleged-Fra Tue, 23 May 2017 16:30:00 GMT https://www.lit-wc.aoshearman.com/More-Bond-Traders-Sued-By-The-SEC-For-Alleged-Fra Administration Unveils New Department Of Justice Charging And Sentencing Policies For Federal Prosecutors https://www.lit-wc.aoshearman.com/Administration-Unveils-New-Department-Of-Justice- Tue, 16 May 2017 18:29:00 GMT https://www.lit-wc.aoshearman.com/Administration-Unveils-New-Department-Of-Justice- Former Bond Trader Jesse Litvak Sentenced To Two Years' Imprisonment After High-Profile Re-Trial In Securities Fraud Case https://www.lit-wc.aoshearman.com/Former-Bond-Trader-Jesse-Litvak-Sentenced-To-Two- Tue, 02 May 2017 21:29:00 GMT https://www.lit-wc.aoshearman.com/Former-Bond-Trader-Jesse-Litvak-Sentenced-To-Two- Administrative Law Judge Rules Against SEC In Insider Trading Case https://www.lit-wc.aoshearman.com/Administrative-Law-Judge-Rules-Against-SEC-In-Ins Tue, 25 Apr 2017 17:46:00 GMT https://www.lit-wc.aoshearman.com/Administrative-Law-Judge-Rules-Against-SEC-In-Ins SEC Files Enforcement Actions Against Multiple Defendants In "Trolling-Type" Scheme To Generate False Publicity For Certain Issuers https://www.lit-wc.aoshearman.com/SEC-Files-Enforcement-Actions-Against-Multiple-De Tue, 18 Apr 2017 16:07:00 GMT https://www.lit-wc.aoshearman.com/SEC-Files-Enforcement-Actions-Against-Multiple-De Utah District Court Limits Reach Of Morrison By Holding That Section 10(b) Of The Exchange Act And Section 17(a) Of The Securities Act Can Be Applied Extraterritorially In Actions Brought By The SEC And The United States https://www.lit-wc.aoshearman.com/Utah-District-Court-Limits-Reach-Of-Morrison-By-H Tue, 11 Apr 2017 16:53:00 GMT https://www.lit-wc.aoshearman.com/Utah-District-Court-Limits-Reach-Of-Morrison-By-H District Court Rules That Trader Can Be Liable For Insider Trading On Misappropriation Grounds Even When Information Was Not Shared In Confidence If A Duty Of Trust And Confidence Later Emerged https://www.lit-wc.aoshearman.com/District-Court-Rules-That-Trader-Can-Be-Liable-Fo Tue, 28 Mar 2017 16:15:00 GMT https://www.lit-wc.aoshearman.com/District-Court-Rules-That-Trader-Can-Be-Liable-Fo FINRA Dismisses Insider Trading Charges https://www.lit-wc.aoshearman.com/FINRA-Dismisses-Insider-Trading-Charges Tue, 21 Mar 2017 20:56:00 GMT https://www.lit-wc.aoshearman.com/FINRA-Dismisses-Insider-Trading-Charges SEC's Securities Fraud Lawsuit Against Texas Attorney General Dismissed For Second Time Over Lack Of Duty To Investors https://www.lit-wc.aoshearman.com/SECrsquos-Securities-Fraud-Lawsuit-Against-Texas- Tue, 14 Mar 2017 17:01:00 GMT https://www.lit-wc.aoshearman.com/SECrsquos-Securities-Fraud-Lawsuit-Against-Texas- Southern District Of New York Finds That Government Leaks Do Not Warrant Dismissal Of Insider Trading Charges Against Billy Walters https://www.lit-wc.aoshearman.com/Southern-District-Of-New-York-Finds-That-Governme Tue, 07 Mar 2017 16:42:00 GMT https://www.lit-wc.aoshearman.com/Southern-District-Of-New-York-Finds-That-Governme U.S. Department Of Justice Issues Guidance On Corporate Compliance Programs https://www.lit-wc.aoshearman.com/US-Department-Of-Justice-Issues-Guidance-On-Corpo Tue, 28 Feb 2017 20:30:00 GMT https://www.lit-wc.aoshearman.com/US-Department-Of-Justice-Issues-Guidance-On-Corpo SEC Announces Enforcement Actions Arising Out Of Corporate Governance Disputes https://www.lit-wc.aoshearman.com/SEC-Announces-Enforcement-Actions-Arising-Out-Of- Tue, 21 Feb 2017 16:36:00 GMT https://www.lit-wc.aoshearman.com/SEC-Announces-Enforcement-Actions-Arising-Out-Of- California Jury Finds That Bio-Rad Violated The Whistleblower Protections Of The Sarbanes-Oxley Act By Terminating Its General Counsel https://www.lit-wc.aoshearman.com/California-Jury-Finds-That-Bio-Rad-Violated-The-W Tue, 14 Feb 2017 19:59:00 GMT https://www.lit-wc.aoshearman.com/California-Jury-Finds-That-Bio-Rad-Violated-The-W SEC Settles Revenue Recognition Allegations And Charges Two Executives https://www.lit-wc.aoshearman.com/SEC-Settles-Revenue-Recognition-Allegations-And-C Tue, 14 Feb 2017 16:59:00 GMT https://www.lit-wc.aoshearman.com/SEC-Settles-Revenue-Recognition-Allegations-And-C Northern District Of California Limits SEC's Disgorgement Reach Under SOX 304 https://www.lit-wc.aoshearman.com/Northern-District-Of-California-Limits-SECrsquos- Tue, 14 Feb 2017 16:53:00 GMT https://www.lit-wc.aoshearman.com/Northern-District-Of-California-Limits-SECrsquos- SEC Charged New York Brokerage Firm And Former Compliance Officer With Gatekeeping And AML Failures Related To Penny Stock Sales https://www.lit-wc.aoshearman.com/SEC-Charged-New-York-Brokerage-Firm-And-Former-Co Tue, 07 Feb 2017 21:15:00 GMT https://www.lit-wc.aoshearman.com/SEC-Charged-New-York-Brokerage-Firm-And-Former-Co Bond Trader Acquitted Of All But One Securities Fraud Charges In Retrial https://www.lit-wc.aoshearman.com/Bond-Trader-Acquitted-Of-All-But-One-Securities-F Mon, 30 Jan 2017 20:07:00 GMT https://www.lit-wc.aoshearman.com/Bond-Trader-Acquitted-Of-All-But-One-Securities-F Shipping Conglomerate OSG And Former CFO Agree To Settle SEC Claims Over Failure To Recognize Tax Liabilities https://www.lit-wc.aoshearman.com/Shipping-Conglomerate-OSG-And-Former-CFO-Agree-To Mon, 30 Jan 2017 17:23:00 GMT https://www.lit-wc.aoshearman.com/Shipping-Conglomerate-OSG-And-Former-CFO-Agree-To Orthofix Settles SEC's Accounting And FCPA Claims With Admissions https://www.lit-wc.aoshearman.com/Orthofix-Settles-SECrsquos-Accounting-And-FCPA-Cl Mon, 30 Jan 2017 17:20:00 GMT https://www.lit-wc.aoshearman.com/Orthofix-Settles-SECrsquos-Accounting-And-FCPA-Cl BlackRock Settles SEC Charges Relating To Its Alleged Practice Of Requiring Employees To Waive Rights To Whistleblower Incentive Payments https://www.lit-wc.aoshearman.com/BlackRock-Settles-SEC-Charges-Relating-To-Its-All Mon, 23 Jan 2017 18:19:00 GMT https://www.lit-wc.aoshearman.com/BlackRock-Settles-SEC-Charges-Relating-To-Its-All Supreme Court Grants Certiorari To Resolve Circuit Split Relating To Timing Of SEC Disgorgement Actions https://www.lit-wc.aoshearman.com/Supreme-Court-Grants-Certiorari-To-Resolve-Circui Mon, 23 Jan 2017 18:17:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-Grants-Certiorari-To-Resolve-Circui SEC Partially Overturns Administrative Law Judge's Fraud Findings In Harding Advisory Case, But Increases Disgorgement For Others https://www.lit-wc.aoshearman.com/SEC-Partially-Overturns-Administrative-Law-Judger Mon, 16 Jan 2017 18:47:00 GMT https://www.lit-wc.aoshearman.com/SEC-Partially-Overturns-Administrative-Law-Judger Mondelēz Agrees To Pay $13 Million To Resolve SEC's FCPA Claims https://www.lit-wc.aoshearman.com/Mondelz-Agrees-To-Pay-13-Million-To-Resolve-SECrs Mon, 16 Jan 2017 18:44:00 GMT https://www.lit-wc.aoshearman.com/Mondelz-Agrees-To-Pay-13-Million-To-Resolve-SECrs DOJ Reaches Final Resolutions On Swiss Bank Program https://www.lit-wc.aoshearman.com/DOJ-Reaches-Final-Resolutions-On-Swiss-Bank-Progr Mon, 09 Jan 2017 22:27:00 GMT https://www.lit-wc.aoshearman.com/DOJ-Reaches-Final-Resolutions-On-Swiss-Bank-Progr The SEC Charges Three Chinese Nationals With Insider Trading Related To Information That Was Hacked From Two New York Law Firms https://www.lit-wc.aoshearman.com/The-SEC-Charges-Three-Chinese-Nationals-With-Insi Mon, 09 Jan 2017 22:26:00 GMT https://www.lit-wc.aoshearman.com/The-SEC-Charges-Three-Chinese-Nationals-With-Insi SandRidge Energy Settles Claims Of Whistleblower Retaliation And Overly Restrictive Settlement Agreements https://www.lit-wc.aoshearman.com/SandRidge-Energy-Settles-Claims-Of-Whistleblower- Mon, 02 Jan 2017 18:22:00 GMT https://www.lit-wc.aoshearman.com/SandRidge-Energy-Settles-Claims-Of-Whistleblower- Tenth Circuit Splits With D.C. Circuit On Constitutionality Of SEC ALJs https://www.lit-wc.aoshearman.com/Tenth-Circuit-Splits-With-DC-Circuit-On-Constitut Mon, 02 Jan 2017 18:19:00 GMT https://www.lit-wc.aoshearman.com/Tenth-Circuit-Splits-With-DC-Circuit-On-Constitut Odebrecht And Braskem Shatter FCPA Settlement Records By Agreeing To Resolve Enforcement Action For $3.5 Billion For Role In Petrobras Scandal https://www.lit-wc.aoshearman.com/Odebrecht-And-Braskem-Shatter-FCPA-Settlement-Rec Mon, 02 Jan 2017 18:16:00 GMT https://www.lit-wc.aoshearman.com/Odebrecht-And-Braskem-Shatter-FCPA-Settlement-Rec Teva Pharmaceuticals Enters Into Fourth-Largest FCPA Settlement https://www.lit-wc.aoshearman.com/Teva-Pharmaceuticals-Enters-Into-Fourth-Largest-F Mon, 02 Jan 2017 18:13:00 GMT https://www.lit-wc.aoshearman.com/Teva-Pharmaceuticals-Enters-Into-Fourth-Largest-F The Supreme Court Affirms Expansive Reading Of The Bank Fraud Act https://www.lit-wc.aoshearman.com/The-Supreme-Court-Affirms-Expansive-Reading-Of-Th Mon, 19 Dec 2016 15:20:00 GMT https://www.lit-wc.aoshearman.com/The-Supreme-Court-Affirms-Expansive-Reading-Of-Th Court Approves SEC Settlement With Broker-Dealer And Top Executive Regarding Marketing Of CDOs To School Districts https://www.lit-wc.aoshearman.com/Court-Approves-SEC-Settlement-With-Broker-Dealer- Mon, 12 Dec 2016 21:22:00 GMT https://www.lit-wc.aoshearman.com/Court-Approves-SEC-Settlement-With-Broker-Dealer- Supreme Court Affirms Pecuniary Benefit Not Required For Family Member Tips, Declines To Address What Constitutes A Benefit In Other Contexts https://www.lit-wc.aoshearman.com/Supreme-Court-Affirms-Pecuniary-Benefit-Not-Requi Mon, 12 Dec 2016 21:20:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-Affirms-Pecuniary-Benefit-Not-Requi Outbound SEC Chair Mary Jo White Urges Continued Expansion Of Tools For SEC Enforcement https://www.lit-wc.aoshearman.com/Outbound-SEC-Chair-Mary-Jo-White-Urges-Continued- Mon, 05 Dec 2016 16:22:00 GMT https://www.lit-wc.aoshearman.com/Outbound-SEC-Chair-Mary-Jo-White-Urges-Continued- SEC Levies Half-Million Dollar Fine For Self-Reported Accounting Errors https://www.lit-wc.aoshearman.com/SEC-Levies-Half-Million-Dollar-Fine-For-Self-Reporting Mon, 14 Nov 2016 17:01:00 GMT https://www.lit-wc.aoshearman.com/SEC-Levies-Half-Million-Dollar-Fine-For-Self-Reporting SEC Files Settled Accounting Case Against FMC Technologies And Two FMC Officers For Books And Records Violations, Without Alleging Fraud https://www.lit-wc.aoshearman.com/SEC-Files-Settled-Accounting-Case-Against-FMC-Tech Mon, 31 Oct 2016 17:30:00 GMT https://www.lit-wc.aoshearman.com/SEC-Files-Settled-Accounting-Case-Against-FMC-Tech Deceptive Advertising Settlement Between Online Gambling Sites And NYAG Serves As Reminder Of NYAG's Broad Mandate For Consumer Protection https://www.lit-wc.aoshearman.com/Deceptive-Advertising-Settlement-Between-Online-Gambling Mon, 31 Oct 2016 17:28:00 GMT https://www.lit-wc.aoshearman.com/Deceptive-Advertising-Settlement-Between-Online-Gambling Southern District Of New York Denies Motion To Dismiss Indictment In High-Profile Sanctions Prosecution https://www.lit-wc.aoshearman.com/Southern-District-Of-New-York-Denies-Motion-To-Dismiss Mon, 24 Oct 2016 18:13:00 GMT https://www.lit-wc.aoshearman.com/Southern-District-Of-New-York-Denies-Motion-To-Dismiss SEC FY2016 Featured A Record-Breaking Numbers Of Enforcement Actions And Whistleblower Awards https://www.lit-wc.aoshearman.com/SEC-FY2016-Featured-A-Record-Breaking-Numbers-Of-Enforcement-Actions Mon, 17 Oct 2016 15:15:00 GMT https://www.lit-wc.aoshearman.com/SEC-FY2016-Featured-A-Record-Breaking-Numbers-Of-Enforcement-Actions D.C. Circuit Finds CFPB Structure Unconstitutional https://www.lit-wc.aoshearman.com/DC-Circuit-Finds-CFPB-Structure-Unconstitutional Mon, 17 Oct 2016 15:01:00 GMT https://www.lit-wc.aoshearman.com/DC-Circuit-Finds-CFPB-Structure-Unconstitutional SEC Fines Accountants $50,000 For Violating Auditor Independence Rules https://www.lit-wc.aoshearman.com/SEC-Fines-Accountants-50000-For-Violating-Auditor-Independence-Rules Tue, 11 Oct 2016 14:03:00 GMT https://www.lit-wc.aoshearman.com/SEC-Fines-Accountants-50000-For-Violating-Auditor-Independence-Rules Weatherford Settles SEC's Allegations Of Accounting And Reporting Fraud For $140 Million https://www.lit-wc.aoshearman.com/Weatherford-Settles-SECrsquos-Allegations-Of-Accounting-and-Reporting-Fraud Mon, 03 Oct 2016 14:03:00 GMT https://www.lit-wc.aoshearman.com/Weatherford-Settles-SECrsquos-Allegations-Of-Accounting-and-Reporting-Fraud SEC Receives $9.3 Million Settlement In Auditor Independence Actions https://www.lit-wc.aoshearman.com/SEC-Receives-93-Million-Settlement-In-Auditor-Independence Mon, 26 Sep 2016 14:04:00 GMT https://www.lit-wc.aoshearman.com/SEC-Receives-93-Million-Settlement-In-Auditor-Independence Portugal Telecom Settles Financial Reporting Allegations https://www.lit-wc.aoshearman.com/Portugal-Telecom-Settles-Financial-Reporting-Allegations Mon, 19 Sep 2016 14:05:00 GMT https://www.lit-wc.aoshearman.com/Portugal-Telecom-Settles-Financial-Reporting-Allegations Ninth Circuit Supports Expansive Interpretation Of SOX 304 https://www.lit-wc.aoshearman.com/Ninth-Circuit-Supports-Expansive-Interpretation-Of-SOX-304 Mon, 12 Sep 2016 14:06:00 GMT https://www.lit-wc.aoshearman.com/Ninth-Circuit-Supports-Expansive-Interpretation-Of-SOX-304 Federal Banking Agencies Issue Joint Fact Sheet To Help Assuage Banks' Concerns Regarding Anti-Money Laundering Enforcement https://www.lit-wc.aoshearman.com/Federal-Banking-Agencies-Issue-Joint-Fact-Sheet-To-Help-Assuage-Banks-Concerns Tue, 06 Sep 2016 14:08:00 GMT https://www.lit-wc.aoshearman.com/Federal-Banking-Agencies-Issue-Joint-Fact-Sheet-To-Help-Assuage-Banks-Concerns Tenth Circuit Holds That Disgorgement Is Not Subject to A Five-Year Limitations Period https://www.lit-wc.aoshearman.com/Tenth-Circuit-Holds-That-Disgorgement-Is-Not-Subject-to-a-five-year-limitations-period Tue, 06 Sep 2016 14:06:00 GMT https://www.lit-wc.aoshearman.com/Tenth-Circuit-Holds-That-Disgorgement-Is-Not-Subject-to-a-five-year-limitations-period Private Equity Advisers Settle SEC Charges, Highlighting The SEC's Continued Scrutiny Of Private Equity Firms https://www.lit-wc.aoshearman.com/Private-Equity-Advisers-Settle-SEC-Charges-Highlighting-SEC-Scrutiny Mon, 29 Aug 2016 14:24:00 GMT https://www.lit-wc.aoshearman.com/Private-Equity-Advisers-Settle-SEC-Charges-Highlighting-SEC-Scrutiny SEC Enters Into First Settlement Agreements Penalizing Companies for Attempting to Block Employees from Receiving Whistleblower Reward Payments https://www.lit-wc.aoshearman.com/SEC-Enters-Into-First-Settlement-Agreements-Penalizing-Companies Mon, 22 Aug 2016 14:25:00 GMT https://www.lit-wc.aoshearman.com/SEC-Enters-Into-First-Settlement-Agreements-Penalizing-Companies In Reinstating Conviction, Second Circuit Expands Federal Prosecutors' Ability to Prosecute Fraud Claims in New York https://www.lit-wc.aoshearman.com/In-Reinstating-Conviction-Second-Circuit-Expands-Federal-Prosecutors-Ability Mon, 22 Aug 2016 14:25:00 GMT https://www.lit-wc.aoshearman.com/In-Reinstating-Conviction-Second-Circuit-Expands-Federal-Prosecutors-Ability D.C. Circuit Court Of Appeals Rejects Constitutional Challenge to SEC's Use of Administrative Proceedings https://www.lit-wc.aoshearman.com/DC-Circuit-Court-Of-Appeals-Rejects-Constitutional Mon, 15 Aug 2016 14:26:00 GMT https://www.lit-wc.aoshearman.com/DC-Circuit-Court-Of-Appeals-Rejects-Constitutional SEC Levies Harsh Sanctions Against Former KPMG Auditors In ALJ Appeal https://www.lit-wc.aoshearman.com/SEC-Levies-Harsh-Sanctions-Against-Former-KPMG-Auditors Mon, 15 Aug 2016 14:26:00 GMT https://www.lit-wc.aoshearman.com/SEC-Levies-Harsh-Sanctions-Against-Former-KPMG-Auditors Defendant Settles Long-Running Insider Trading Litigation https://www.lit-wc.aoshearman.com/Defendant-Settles-Long-Running-Insider-Trading-Litigation Mon, 01 Aug 2016 14:55:00 GMT https://www.lit-wc.aoshearman.com/Defendant-Settles-Long-Running-Insider-Trading-Litigation In Significant Electronic Privacy Decision, Second Circuit Rules That Search Warrant Provisions in SCA Do Not Apply Extraterritorially https://www.lit-wc.aoshearman.com/In-Significant-Electronic-Privacy-Decision-Second-Circuit Mon, 25 Jul 2016 14:55:00 GMT https://www.lit-wc.aoshearman.com/In-Significant-Electronic-Privacy-Decision-Second-Circuit In the Matter of Microsoft: Why It Matters https://www.lit-wc.aoshearman.com/In-the-Matter-of-Microsoft-Why-It-Matters Tue, 19 Jul 2016 14:54:00 GMT https://www.lit-wc.aoshearman.com/In-the-Matter-of-Microsoft-Why-It-Matters Does the SEC's Adoption of Amendments to Rules of Practice Mean It Will Resume Litigating Enforcement Actions as Administrative Proceedings? https://www.lit-wc.aoshearman.com/Does-the-SECrsquos-Adoption-of-Amendments-to-Rule Mon, 18 Jul 2016 14:54:00 GMT https://www.lit-wc.aoshearman.com/Does-the-SECrsquos-Adoption-of-Amendments-to-Rule Johnson Controls, Inc.'s FCPA Settlement Is a Reminder That Extensive Cooperation Is Not a Free Pass https://www.lit-wc.aoshearman.com/Johnson-Controls-Incrsquos-FCPA-Settlement-Is-a-Reminder Mon, 18 Jul 2016 14:52:00 GMT https://www.lit-wc.aoshearman.com/Johnson-Controls-Incrsquos-FCPA-Settlement-Is-a-Reminder German Financial Regulator's Decision To Open Whistleblower Office Highlights International Focus On Protecting Whistleblowers https://www.lit-wc.aoshearman.com/German-Financial-Regulatorrsquos-Decision-To-Open Mon, 11 Jul 2016 14:50:00 GMT https://www.lit-wc.aoshearman.com/German-Financial-Regulatorrsquos-Decision-To-Open Second Circuit Allows Joint Petition For Rehearing Of Appeals Challenging Constitutionality Of SEC Proceedings Before Administrative Law Judges https://www.lit-wc.aoshearman.com/Second-Circuit-Allows-Joint-Petition-for-Rehearing-of-Appeals Mon, 04 Jul 2016 14:49:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Allows-Joint-Petition-for-Rehearing-of-Appeals Securities Enforcement: 2016 Mid-Year Review https://www.lit-wc.aoshearman.com/Securities-Enforcement-2016-Mid-Year-Review- Mon, 04 Jul 2016 14:49:00 GMT https://www.lit-wc.aoshearman.com/Securities-Enforcement-2016-Mid-Year-Review- U.S. Supreme Court Limits The Scope Of What Constitutes An "Official Act" And Overturns The Conviction Of Former Virginia Governor Robert McDonnell https://www.lit-wc.aoshearman.com/US-Supreme-Court-Limits-The-Scope-Of-What-Constit Mon, 04 Jul 2016 14:48:00 GMT https://www.lit-wc.aoshearman.com/US-Supreme-Court-Limits-The-Scope-Of-What-Constit Securities Enforcement: 2016 Mid-Year Review https://www.lit-wc.aoshearman.com/Securities-Enforcement-2016-Mid-Year-Review Fri, 01 Jul 2016 14:48:00 GMT https://www.lit-wc.aoshearman.com/Securities-Enforcement-2016-Mid-Year-Review FCPA Digest: Recent Trends & Patterns https://www.lit-wc.aoshearman.com/FCPA-Digest-Recent-Trends-and-Patterns Fri, 01 Jul 2016 14:48:00 GMT https://www.lit-wc.aoshearman.com/FCPA-Digest-Recent-Trends-and-Patterns Supreme Court Limits Extraterritorial Application of Civil RICO https://www.lit-wc.aoshearman.com/Supreme-Court-Limits-Extraterritorial-Application Mon, 27 Jun 2016 14:47:00 GMT https://www.lit-wc.aoshearman.com/Supreme-Court-Limits-Extraterritorial-Application Fund Administrator Settles Charges that it Failed its Gatekeeper Responsibilities https://www.lit-wc.aoshearman.com/Fund-Administrator-Settles-Charges-that-it-Failed Mon, 27 Jun 2016 14:44:00 GMT https://www.lit-wc.aoshearman.com/Fund-Administrator-Settles-Charges-that-it-Failed D.C. Circuit Upholds The Securities And Exchange Commission's Newly Promulgated Regulation A-Plus https://www.lit-wc.aoshearman.com/DC-Circuit-Upholds-The-Securities-And-Exchange-Commission Mon, 20 Jun 2016 14:44:00 GMT https://www.lit-wc.aoshearman.com/DC-Circuit-Upholds-The-Securities-And-Exchange-Commission Judge Denies Motion to Dismiss the "Bridgegate" Indictment and Permits Novel Application of Anti-Bribery Statute https://www.lit-wc.aoshearman.com/Judge-Denies-Motion-to-Dismiss-the-ldquoBridgegat Mon, 13 Jun 2016 17:46:00 GMT https://www.lit-wc.aoshearman.com/Judge-Denies-Motion-to-Dismiss-the-ldquoBridgegat Recent SEC Administrative Proceedings Highlight Agency's Renewed Focus on Addressing Accounting Fraud https://www.lit-wc.aoshearman.com/Recent-SEC-Administrative-Proceedings-Highlight-A Mon, 13 Jun 2016 14:43:00 GMT https://www.lit-wc.aoshearman.com/Recent-SEC-Administrative-Proceedings-Highlight-A Eleventh Circuit Rules Disgorgement Subject to Five-Year Limitations Period, Ruling Against SEC https://www.lit-wc.aoshearman.com/Eleventh-Circuit-Rules-Disgorgement-Subject-to-Five-Year-Limit Fri, 10 Jun 2016 14:42:00 GMT https://www.lit-wc.aoshearman.com/Eleventh-Circuit-Rules-Disgorgement-Subject-to-Five-Year-Limit Second Circuit Holds Federal Courts Cannot Hear Constitutional Challenges to SEC ALJs until Administrative Proceedings https://www.lit-wc.aoshearman.com/Second-Circuit-Holds-Federal-Courts-Cannot-Hear-C Tue, 07 Jun 2016 14:42:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Holds-Federal-Courts-Cannot-Hear-C Eleventh Circuit Decision in Graham Bars SEC from Seeking Disgorgement or Declaratory Relief for Conduct Outside Statute of Limitations https://www.lit-wc.aoshearman.com/Eleventh-Circuit-Decision-in-Graham-Bars-SEC-from Tue, 07 Jun 2016 14:42:00 GMT https://www.lit-wc.aoshearman.com/Eleventh-Circuit-Decision-in-Graham-Bars-SEC-from The SEC Enters into Two FCPA Non-Prosecution Agreements in Light of Company Cooperation https://www.lit-wc.aoshearman.com/The-SEC-Enters-into-Two-FCPA-Non-Prosecution-Agre Tue, 07 Jun 2016 14:41:00 GMT https://www.lit-wc.aoshearman.com/The-SEC-Enters-into-Two-FCPA-Non-Prosecution-Agre Second Circuit Holds Federal Courts Cannot Hear Constitutional Challenges to SEC ALJs until Administrative Proceedings https://www.lit-wc.aoshearman.com/Second-Circuit-Holds-Federal-Courts-Cannot-Hear-Constitutional Mon, 06 Jun 2016 14:40:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Holds-Federal-Courts-Cannot-Hear-Constitutional Eleventh Circuit Holds That SEC Cannot Seek Disgorgement or Declaratory Relief for Conduct Outside Statute of Limitations https://www.lit-wc.aoshearman.com/Eleventh-Circuit-Holds-That-SEC-Cannot-Seek-Disgo Mon, 06 Jun 2016 14:39:00 GMT https://www.lit-wc.aoshearman.com/Eleventh-Circuit-Holds-That-SEC-Cannot-Seek-Disgo SEC Guidance May Preview Enforcement Actions Regarding the Use of Non-GAAP Measures https://www.lit-wc.aoshearman.com/SEC-Guidance-May-Preview-Enforcement-Actions-Rega Tue, 31 May 2016 14:39:00 GMT https://www.lit-wc.aoshearman.com/SEC-Guidance-May-Preview-Enforcement-Actions-Rega Decision to Charge Golfer Phil Mickelson as a "Relief Defendant" in Recent Insider Trading Action Highlights the Impact of United States v. Newman on Insider Trading Enforcement https://www.lit-wc.aoshearman.com/Decision-to-Charge-Golfer-Phil-Mickelson-as-a-Relief-Defendant Tue, 31 May 2016 14:39:00 GMT https://www.lit-wc.aoshearman.com/Decision-to-Charge-Golfer-Phil-Mickelson-as-a-Relief-Defendant FINRA's Settlement with a Compliance Officer for Alleged AML Violations May Not Signal a New Normal https://www.lit-wc.aoshearman.com/FINRAs-Settlement-with-a-Compliance-Officer- Tue, 31 May 2016 14:37:00 GMT https://www.lit-wc.aoshearman.com/FINRAs-Settlement-with-a-Compliance-Officer- SEC and DOJ Officials Comment on Expectations of Compliance Professionals https://www.lit-wc.aoshearman.com/SEC-and-DOJ-Officials-Comment-on-Expectations-of- Tue, 31 May 2016 14:36:00 GMT https://www.lit-wc.aoshearman.com/SEC-and-DOJ-Officials-Comment-on-Expectations-of- Second Circuit Reaffirms Its View That Extender Statutes Supersede Statutes of Repose https://www.lit-wc.aoshearman.com/Second-Circuit-Reaffirms-Its-View-That-Extender-Statues-Supersede Mon, 23 May 2016 14:32:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Reaffirms-Its-View-That-Extender-Statues-Supersede FINRA Imposes $17 million in Fines on Raymond James for Anti-Money Laundering Failures https://www.lit-wc.aoshearman.com/FINRA-Imposes-17-million-in-Fines-on-Raymond-Jame Mon, 23 May 2016 14:31:00 GMT https://www.lit-wc.aoshearman.com/FINRA-Imposes-17-million-in-Fines-on-Raymond-Jame Recent Data Suggests that the SEC May Be Curbing Its Use of Administrative Proceedings as Forums For Enforcement Actions https://www.lit-wc.aoshearman.com/Recent-Data-Suggests-that-the-SEC-May-Be-Curbing- Mon, 23 May 2016 14:31:00 GMT https://www.lit-wc.aoshearman.com/Recent-Data-Suggests-that-the-SEC-May-Be-Curbing- Recent $3.5 million and $5 million Awards Suggest that the SEC's Whistleblower Program is Expanding https://www.lit-wc.aoshearman.com/Recent-35-million-and-5-million-Awards-Suggest-th Mon, 23 May 2016 14:30:00 GMT https://www.lit-wc.aoshearman.com/Recent-35-million-and-5-million-Awards-Suggest-th Significant Judicial Opinions - Robert McDonnell https://www.lit-wc.aoshearman.com/Significant-Judicial-Opinions-Robert-McDonnell Tue, 17 May 2016 14:30:00 GMT https://www.lit-wc.aoshearman.com/Significant-Judicial-Opinions-Robert-McDonnell SEC Enforcement Director Ceresney Signals Continued Focus on Private Equity Enforcement https://www.lit-wc.aoshearman.com/SEC-Enforcement-Director-Ceresney-Signals-ContinuSEC-Enforcement-Director-Ceresney-Signals-Continued Mon, 09 May 2016 14:29:00 GMT https://www.lit-wc.aoshearman.com/SEC-Enforcement-Director-Ceresney-Signals-ContinuSEC-Enforcement-Director-Ceresney-Signals-Continued Sally Yates Defends the "Yates Memo" Against Legal Commentary https://www.lit-wc.aoshearman.com/Sally-Yates-Defends-the-ldquoYates-Memordquo-Agai Mon, 09 May 2016 14:28:00 GMT https://www.lit-wc.aoshearman.com/Sally-Yates-Defends-the-ldquoYates-Memordquo-Agai Opening Supreme Court Brief in Salman Highlights the Debate Over the Personal Benefit Standard for Insider Trading https://www.lit-wc.aoshearman.com/Salman-Highlights-the-Debate-Over-the-Personal-Benefit Mon, 09 May 2016 14:28:00 GMT https://www.lit-wc.aoshearman.com/Salman-Highlights-the-Debate-Over-the-Personal-Benefit Government Regulators Reiterate Benefits of Voluntary Self-Reporting of Violations https://www.lit-wc.aoshearman.com/Government-Regulators-Reiterate-Benefits-of-Volun Mon, 09 May 2016 14:27:00 GMT https://www.lit-wc.aoshearman.com/Government-Regulators-Reiterate-Benefits-of-Volun Second Circuit Holds that Investment Advisers Can Commit Fraud without Any Intent to Harm Clients https://www.lit-wc.aoshearman.com/Second-Circuit-Holds-that-Investment-Advisers-Can Mon, 09 May 2016 14:27:00 GMT https://www.lit-wc.aoshearman.com/Second-Circuit-Holds-that-Investment-Advisers-Can New Criminal Charges or Enforcement Actions Logitech and Ener 1 https://www.lit-wc.aoshearman.com/New-Criminal-Charges-or-Enforcement-Actions-Logit Mon, 02 May 2016 14:26:00 GMT https://www.lit-wc.aoshearman.com/New-Criminal-Charges-or-Enforcement-Actions-Logit