Especially in today’s economic and work environment, we find it helpful – and we therefore thought our clients would also find it helpful – to keep track of the important litigation and regulatory enforcement developments...more
6/11/2020
/ Asset Management ,
Class Action ,
Coronavirus/COVID-19 ,
Dodd-Frank ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Fiduciary Duty ,
Investment ,
Proxy Materials ,
Regulation Best Interest ,
Section 36(b) ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Litigation
The CFTC’s Division of Enforcement (Division) released its Annual Report on November 25, 2019, summarizing the Division’s activities over the past year.1 In FY 2019, the CFTC filed 69 enforcement actions, down from 83 in FY...more
12/16/2019
/ Annual Reports ,
Bitcoin ,
CFTC ,
CFTC Enforcement Manual ,
Civil Monetary Penalty ,
Commodities ,
Cryptocurrency ,
Customer Protection Rule ,
Department of Justice (DOJ) ,
Derivatives ,
Disgorgement ,
Dodd-Frank ,
Enforcement Actions ,
Enforcement Statistics ,
False Reporting ,
Fraud ,
Individual Accountability ,
Integrity Policies ,
Investor Protection ,
Market Manipulation ,
Risk Management ,
Self-Reporting ,
Spoofing ,
Swaps ,
Whistleblowers
Stephanie Avakian and Steven Peikin, the new Co-Directors of the U.S. SEC Enforcement Division (“Division”), released a report on November 15, 2017, summarizing the Division’s enforcement activity for the fiscal year ending...more
11/29/2017
/ Anti-Retaliation Provisions ,
Asset Freeze ,
Cybersecurity ,
Disgorgement ,
Dodd-Frank ,
Enforcement Actions ,
Excessive Fees ,
Fraud ,
Investor Protection ,
Investors ,
Penalties ,
Ponzi Scheme ,
Pump and Dump ,
Retail Market ,
Sanctions ,
Securities and Exchange Commission (SEC) ,
Whistleblowers