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United States v. Blaszczak: Second Circuit Ruling Creates Opening for Significant Increase in Insider Trading Prosecutions

USA - January 30 2020 The Second Circuit recently took an unexpected plunge into the torrid waters of insider trading law. Following several years of decisions limiting...

Bochan Kim.

The SEC’s 2020 Examination Priorities

USA - January 30 2020 On January 7, 2020, the Securities and Exchange Commission (“SEC”) released its 2020 examination priorities, an annual report by the SEC’s Office of...

Kate Ross.

Spoofing Enforcement Intensifies

USA - October 30 2019 U.S. regulators, in particular the Commodity Futures Trading Commission (“CFTC”), are intently pursuing market manipulation enforcement. The...

Julie A. Bauman.

Regulatory Moves Show Financial Watchdogs Working Smarter, if Not Harder

USA - October 30 2019 To gain insight into where the Securities and Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) have been focusing their...

Christopher J. Bosch.

New York’s Department of Financial Services: the Self-Styled “Regulator of the Future”

USA - September 27 2019 Under its new leader, the New York Department of Financial Services (“DFS”) has staked out high ground for itself by self-identifying as the...

Bochan Kim.