Michael Hardin

Michael Hardin

Kramer Levin Naftalis & Frankel LLP

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New SEC Enforcement Division Director Signals Policy Shifts, Including Potential Emphasis on Admissions of Wrongdoing

In a recent speech at the Practising Law Institute’s annual SEC Speaks conference, Gurbir Grewal, the new director of the Division of Enforcement for the Securities and Exchange Commission (SEC or Commission), signaled...more

10/26/2021  /  Board of Directors , Corporate Counsel , Corporate Governance , Enforcement Actions , Enforcement Priorities , Government Investigations , Publicly-Traded Companies , Regulatory Agenda , Securities and Exchange Commission (SEC)

Second Circuit Declines to Strike Down No-Deny Provision of Executive’s SEC Consent Agreement

On Sept. 27, 2021, the U.S. Court of Appeals for the Second Circuit rejected the most recent legal challenge to the Securities and Exchange Commission’s (SEC) practice of using “no-deny” consent agreements to resolve civil...more

10/6/2021  /  Consent Agreements , Due Process , Enforcement Actions , First Amendment , Jurisdiction , Neither Admit Nor Deny Settlements , Securities and Exchange Commission (SEC) , Standing
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