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U.S. Supreme Court Preserves SEC’s Disgorgement Power—With Limits

USA - June 23 2020 On Monday, the U.S. Supreme Court preserved the U.S. Securities and Exchange Commission’s (“SEC”) ability to seek disgorgement as equitable relief for…

Timothy D. Belevetz, Matthew L. Fornshell.

Department of Justice Updates Its Corporate Compliance Program Evaluation Guidance

USA - June 5 2020 On June 1, 2020, the U.S. Department of Justice (“DOJ”) published an updated version of its guidance on how it evaluates corporate compliance programs…

Guillermo Christensen, Daniel Polatsek.

Rise in SEC Whistleblower Complaints Reinforces Importance of Corporate Compliance

USA - June 3 2020 The Co-Director of the U.S. Securities and Exchange Commission’s (“SEC”) Enforcement Division, Steven Peiken, recently announced the SEC received…

Guillermo Christensen, Matthew L. Fornshell, Daniel Polatsek.

DOJ, SEC & FBI Host Virtual Town Hall on Foreign Bribery and Health Care Fraud Enforcement

USA - May 21 2020 The Federal Government’s enforcers disclosed in a virtual town hall that while they face some additional difficulties in enforcing laws against…

Timothy D. Belevetz, Guillermo Christensen, Daniel Polatsek.

SEC Forms COVID-19 Market Monitoring Group

USA - April 24 2020 On April 24, 2020, the U.S. Securities and Exchange Commission (“SEC”) announced that it was forming an internal, cross-divisional COVID-19 Market…

Matthew L. Fornshell.