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The Future of Securities Fraud: Alternative Data Provider Fined $10 Million by SEC

USA - September 21 2021 Last week, the Securities and Exchange Commission (SEC) announced that App Annie Inc. and its former CEO and Chairman Bertrand Schmitt agreed to a…

Brock Dahl, Doru Gavri, Christine Lyon, Ruth Musgrave, Kimberly Zelnick

SEC Zeroes In on SPACs, Opening an Informal Investigation Into the Market’s Latest Trend

USA - March 29 2021 As we have previously shared, market interest in special-purpose acquisition companies (SPACs) has been soaring this past year, with more than 240…

Michael Levitt, Kimberly Zelnick

SEC’s New “Climate and ESG Task Force” Signals Enforcement Focus on Sustainability Issues

USA - March 9 2021 On March 4, 2021, the US Securities and Exchange Commission (SEC) announced the creation of a “Climate and ESG Task Force” within the Division of…

Altin Sila, Kimberly Zelnick

Changes to SEC Enforcement Practices Signal New Era of Potentially Aggressive Enforcement

USA - February 12 2021 Earlier this week, on February 9, 2021, Acting Chair of the US Securities and Exchange Commission (SEC) Allison Herren Lee announced that the SEC has…

Mark Goldberg, Aaron Kates Rose, Kimberly Zelnick

Shifting AML Compliance Stateside: Does the NDAA Require Regulated Institutions to Conduct All Compliance Operations in the United States?

USA - January 20 2021 As we discussed in our recent client alert, this year’s National Defense Authorization Act (NDAA) represents the most significant change to US…

Mark Goldberg, Kimberly Zelnick