Articles: 1-10 of 200
SEC Charged McDonald’s For Public Disclosure Violations Related To The Board’s Exercise Of Discretion Respecting The Former CEO’s Termination And Charged The Former CEO For Fraud
USA - February 28 2023 On January 9, 2023, the Securities Exchange Commission (“SEC”) issued a cease-and-desist order (“the Order”) against McDonald’s Corporation (the…
United States Department Of Justice Issues Voluntary Self-Disclosure Policy Pursuant To Deputy Attorney General’s September 15, 2022, Memorandum
USA - February 28 2023 On February 22, 2023, the United States Department of Justice (“DOJ”) issued the United States Attorney’s Offices’ Voluntary Self-Disclosure Policy…
SEC Brings Enforcement Action Over Company’s Alleged Failure To Track Information About Workplace Misconduct Relevant To Risk Factor Disclosures About Employee Retention
USA - February 14 2023 On February 3, 2023, the Securities and Exchange Commission (“SEC”) announced a settled enforcement action against video game maker Activision…
DOJ Announces Revisions To The Criminal Division’s Corporate Enforcement Policy
USA - February 3 2023 On January 17, 2023, Assistant Attorney General Kenneth A. Polite delivered remarks announcing revisions to the Department of Justice (“DOJ”)…
DOJ And SEC Extend FCPA Monitorship For Telecom Company
USA - December 20 2022 On December 14, a multinational telecommunications company headquartered in Stockholm, Sweden (the “Company”), announced it had reached agreement…
SEC Announces Year-End Enforcement Results, Emphasizing Record-Setting Penalty Awards
USA - November 22 2022 On November 15, 2022, the Securities and Exchange Commission (“SEC”) released its summary of enforcement actions for the 2022 fiscal year, which…
CFTC Releases Its Annual Enforcement Results
USA - November 1 2022 On October 20, 2022, the Commodity Futures Trading Commission ("CFTC") released its enforcement results for Fiscal Year ("FY") 2022, reporting that…
SEC And CFTC Orders Concerning Electronic Communications
USA - October 11 2022 On September 27, 2022, the SEC announced charges against affiliates of 11 financial institutions (15 broker-dealers and one investment adviser) for…
The DOJ Reinforces And Updates Corporate Criminal Enforcement Priorities With Speech By Deputy Attorney General Lisa O. Monaco
USA - September 30 2022 On September 15, 2022, Deputy Attorney General Lisa O. Monaco delivered remarks on the Department of Justice’s corporate prosecution priorities at…
SEC Brings Actions Against Underwriters In First-Ever Municipal Bond Disclosure Cases
USA - September 30 2022 On September 13, 2022, the Securities and Exchange Commission (“SEC”) filed suit in the United States District Court for the Southern District of New…
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