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Two Companies Charged by SEC for Whistleblower Infractions
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

Two publicly traded companies agreed to settle Securities and Exchange Commission


U.S. Regulatory Agenda: What to Expect in 2017 (for Structured Products)
  • Morrison & Foerster LLP
  • USA
  • December 27 2016

At the end of each of the last several years, we have shared with readers our list of anticipated areas of focus for the coming year. This particular


Keeping an Eye OutUpdates and Briefly Noted
  • Manatt Phelps & Phillips LLP
  • Ireland, USA
  • December 22 2016

We last covered the SEC’s Whistleblower Program in our November 2016 newsletterunder “Give a Little WhistleSEC Whistleblower Program Update.” Some


Financial Regulatory Developments Focus December 20 2016
  • Shearman & Sterling LLP
  • European Union, United Kingdom, USA
  • December 20 2016

On December 12, 2016, the US Board of Governors of the Federal Reserve System issued a statement of policy regarding how banking entities may seek


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


After the U.S. Presidential and Congressional Elections, What's Next for Financial Services Regulation?
  • Jones Day
  • USA
  • November 29 2016

The presidential and congressional elections of 2016 have resulted in the election of Donald J. Trump as the 45th U.S. President and Republican


The Trump Administration’s Impact on Financial Regulation and the SEC
  • Hunton & Williams LLP
  • USA
  • November 23 2016

November 23, 2016 The Trump Administration's Impact on Financial Regulation and the SEC by Shaswat K. Das and Samuel Wolff Published in Law360 With


The Trump Administration: Change By Appointment
  • Cadwalader Wickersham & Taft LLP
  • USA
  • November 18 2016

The Trump Administration: Instituting Change The election of Donald J. Trump as the 45th President of the United States, along with the Republican


2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds
  • Proskauer Rose LLP
  • European Union, Hong Kong, Ireland, OECD, United Kingdom, USA
  • November 15 2016

On March 10, 2016, the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC) released a


2016 U.S. Presidential and Congressional Elections
  • Sullivan & Cromwell LLP
  • USA
  • November 15 2016

The Republican Party emerged from last week's elections having won control of the White House and retained slightly reduced majorities in both