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Regulatory Oversight › Settlement › Securities and Exchange Commission (SEC)

Alston & Bird

The Digital Download – Alston & Bird’s Privacy & Data Security Newsletter – August 2024

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Selected U.S. Privacy and Cyber Updates - New York AG Seeks Comments on Rulemaking for Minors’ Online Protection Laws - On August 1, 2024, New York Attorney General Letitia James issued two advanced notices of proposed...more

Alston & Bird

SEC Settlement Suggests the Agency’s Attempt to Regulate Cybersecurity Controls

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Does the R.R. Donnelley settlement mean heightened Securities and Exchange Commission (SEC) involvement in regulating public companies’ cybersecurity policies and practices? Our Securities Litigation, Privacy, Cyber & Data...more

K&L Gates LLP

The SEC Fines Stand-Alone Adviser for Off-Channel Communications

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Overview - On 3 April 2024, the US Securities and Exchange Commission (the SEC) announced the first settlement with a stand-alone registered investment adviser for, among other things, failures to maintain and preserve...more

Barnea Jaffa Lande & Co.

SEC vs. Philips: Expansion of Foreign Corrupt Practices Act

Barnea Jaffa Lande & Co. on

In May 2023, a complex SEC law enforcement proceeding was concluded against Philips, a public Dutch medtech company. The proceeding concluded with a settlement, whereby Philips agreed to pay a fine of more than USD 62 million...more

Bradley Arant Boult Cummings LLP

SEC’s Recent Enforcement Actions a Sign of Increased Scrutiny of SPACs

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In one of the most high-profile actions recently undertaken by the Securities and Exchange Commission’s Fort Worth Office, the SEC in late October settled securities fraud charges for nearly $40 million against Akazoo, S.A.,...more

Bass, Berry & Sims PLC

SEC Commissioners Square Off Over Enforcement Settlement Process

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In one of her first official actions as Acting Chair of the Securities and Exchange Commission (SEC or Commission), Allison Herren Lee reversed a major policy implemented by recently departed SEC Chairman Jay Clayton...more

Carlton Fields

SEC Now May Consider a Simultaneous Settlement Offer and Waiver Request

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Certain “bad actors” who settle with the SEC may be subject to automatic disqualifications or collateral consequences under federal securities laws and regulations. The Commission, however, may grant a settling party’s...more

Stinson - Corporate & Securities Law Blog

SEC Charges 13 Private Fund Advisers for Failure to File Form PF

Stinson - Corporate & Securities Law Blog on

The SEC announced settlements with 13 registered private fund investment advisers who repeatedly failed to provide required information that the agency uses to monitor risk. ...more

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