By C. Ryan Barber | October 9, 2018
FTC's Rebecca Slaughter makes the case for more rule-making authority at the agency. Preet Bharara's launching a new insider-trading task force, and Williams & Connolly jumps into Elon Musk - Tesla fray. Thanks for reading Compliance Hot Spots.
New York Law Journal | Analysis
By Margaret A. Dale and Mark D. Harris | October 9, 2018
Corporate and Securities Litigation columnists Margaret A. Dale and Mark D. Harris write: This June, the U.S. Securities and Exchange Commission published a draft of its strategic plan, which outlines the SEC's policy priorities through 2022. The agency set three main goals, which appear to be responsive to changes in the marketplace and the SEC's focus.
By Sue Reisinger | October 3, 2018
This week's Och-Ziff settlement is a reminder that the consequences of not disclosing what is deemed a material fact can be harsh—and very expensive.
By C. Ryan Barber | October 3, 2018
Gibson Dunn's F. Joseph Warin walks us through his counseling on the Petrobas foreign-bribery deal, and we've got a roundup of the latest compliance and enforcement headlines. Plus, see who got the work on latest SEC cases. Thanks for reading Compliance Hot Spots.
By Colby Hamilton | October 2, 2018
In a split decision, the panel's majority reversed and remanded a securities suit dismissed over standing issues after the investors in the company were bought out during the litigation.
By Jenna Greene | October 2, 2018
SEC investigators couldn't crack the case—assuming there was a case, and not just investors blessed with super-fortuitous timing.
The Legal Intelligencer | News
By Lizzy McLellan | October 1, 2018
Andrew Bull has established a blockchain law boutique in Philadelphia.
By Caroline Spiezio | October 1, 2018
"I haven't seen anything else of this magnitude before," said one law professor.
By Caroline Spiezio | October 1, 2018
"I haven't seen anything else of this magnitude before," said one law professor.
By Michael Booth | September 28, 2018
A San Francisco-based investment advisory company, its founder and a former executive will pay a total of $4.27 million to settle federal securities regulators' claims that they improperly diverted investors' funds to the company's parent firm for their own benefit, according to the terms of a settlement announced Friday.
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