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Bold and unrelenting: six months in

USA - October 11 2013 Mary Jo White promised Congress she would pursue a "bold and unrelenting" enforcement program as chairman of the Securities and Exchange Commission…

Amy J. Greer.

Déjà vu all over again? SEC announces more specialized initiatives

USA - July 5 2013 After several weeks of anticipation, the SEC's Division of Enforcement announced July 2 three new special initiatives: a Microcap Fraud Task Force, a…

Amy J. Greer.

The U.S. has a new MOU with securities regulators in China: real change or just déjà vu?

China, USA - June 19 2013 The Securities and Exchange Commission's ("SEC") power to obtain documents from U.S. companies and their auditors is a key component of its mandate…

Jennifer L. Achilles, John Tan.

Third time is the charm for auditor seeking dismissal of securities fraud case

USA - April 10 2013 On April 8, 2013, District Judge Shira Scheindlin (S.D.N.Y.) dismissed Deloitte Touche Tohmatsu CPA Ltd. ("Deloitte") from a securities fraud class…

Jennifer L. Achilles, Jill Ottenberg.

"Know your customer" no more? The SEC signals a uniform fiduciary standard may be coming for broker-dealers and investment advisers

USA - March 5 2013 On March 1, 2013, the Securities and Exchange Commission ("SEC") published a sweeping request for comments that may determine whether a uniform…

Daniel Z. Herbst.