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SEC enforcement quarterly - 4th quarter 2017
  • Sidley Austin LLP
  • USA
  • February 6 2017

The SEC finished its 2016 Fiscal Year with a continued emphasis on bringing enforcement actions across numerous areas of the federal securities laws


Anti-Corruption Quarterly - 4th quarter 2017
  • Sidley Austin LLP
  • Global, USA
  • February 1 2017

2016 was one of the most significant years in FCPA enforcement. If 2015 was, as U.S. authorities claimed, a year in which authorities refocused their


The Investment Funds and Advisers 2016 Year-End Client Update Recap
  • Sidley Austin LLP
  • USA
  • January 17 2017

As the developments affecting the investment management industry continue to unfold, we have once again prepared our annual compendium of relevant


FINRA Issues Its 2017 Exam Priorities
  • Sidley Austin LLP
  • USA
  • January 17 2017

On January 4, the Financial Industry Regulatory Authority (FINRA) released its annual Regulatory and Examination Priorities Letter (Letter) to


First Circuit Reins In Fraud-on-the-FDA Theory
  • Sidley Austin LLP
  • USA
  • January 3 2017

In a recent opinion, the First Circuit significantly constrained the scope of the fraud-on-the-FDA theory of liability, which posits that had the FDA


Supreme Court Affirms Insider Trader Ruling in Salman v. United States
  • Sidley Austin LLP
  • USA
  • December 22 2016

On December 6, the Supreme Court unanimously affirmed a Ninth Circuit decision involving the scope of “personal benefit” required to find insider


DOJ Announces Record Number of New FCA Cases, $4.7 Billion in Fraud Recoveries in FY 2016
  • Sidley Austin LLP
  • USA
  • December 16 2016

DOJ recently announced that it recovered over $4.7 billion in settlements and judgments from civil fraud cases in the fiscal year ending September 30


Supreme Court Affirms Insider Trading Ruling in Salman v. United States
  • Sidley Austin LLP
  • USA
  • December 7 2016

In a much-anticipated decision in Salman v. United States, No. 15-628 (U.S. Dec. 6, 2016), the Supreme Court yesterday upheld the Ninth Circuit's


SEC enforcement quarterly - 3rd quarter 2016
  • Sidley Austin LLP
  • Ireland, United Kingdom, USA
  • December 1 2016

For the last several years, as we have observed in previous editions of the Quarterly, an increasing number of individuals or entities have sought to


Updates from the U.S. Commodity Futures Trading Commission
  • Sidley Austin LLP
  • USA
  • November 18 2016

Trader pleads guilty to spoofing and wire fraud, and settles manipulation and spoofing case with CFTC. On November 9, Navinder Singh Sarao pled