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The Securities and Exchange Commission (“SEC”) prevails in the Second Circuit in defending its no-admission settlement policy

USA - June 5 2014 The long legal battle over the SEC's neither-admit-nor-deny settlement policy has finally come to an end. On June 4, 2014, the Second Circuit issued…

Amy J. Greer, Daniel Z. Herbst.

SEC to hear appeal of decision barring Chinese auditors

USA - May 16 2014 The Securities and Exchange Commission recently indicated that it would review, de novo, the January 2014 decision barring the Chinese affiliates of…

Jennifer L. Achilles, John Tan.

China auditor update: after round one - SEC 1, auditors 0

China, USA - January 23 2014 In the first blow to land in the long running dispute between U.S. regulators and the accounting firms that certify the financial statements of…

Jennifer L. Achilles, John Tan.

The lawman cometh: the SEC adds deferred prosecution agreements to its bag of remedies

USA - November 19 2013 Last week the Securities and Exchange Commission ("SEC") announced it had entered into its first deferred prosecution agreement ("DPA") with an…

Bold and unrelenting enforcement from the SEC: a six month review

USA - October 16 2013 Mary Jo White promised Congress she would pursue a "bold and unrelenting" enforcement program as Chairman of the Securities and Exchange Commission…