In this era of intense regulatory enforcement, our blog— “The GEE” (Government Enforcement Exposed)—aims to highlight important trends, legislation and legal issues related to the efforts of the many regulatory enforcement agencies at all levels of government. Along the way, The GEE will provide insight into legal strategies that have (and have not) worked for individuals and companies facing government scrutiny and may even occasionally comment on the judges and lawyers involved in some of the higher profile matters in the country.
Articles: 1-10 of 119
Householder, Dark Money Groups, and the Future of Political Donations
USA - March 15 2023 The convictions of former Ohio Speaker of the House Larry Householder and ex-Ohio Republic Party Chairman Matt Borges have thrust dark money and…
Digital Asset Businesses Amp Up Their Compliance Measures to Avoid Insider Trading Actions
USA - August 26 2022 Several employees of digital asset platforms unexpectedly found themselves the focus of insider trading actions brought by the Department of Justice…
Art Dealers, Other Non-Bank Entities Subject of New Bank Secrecy Act Amendment
USA - August 9 2022 On July 14 the U.S. House passed the FY 2023 National Defense Authorization Act (NDAA) that would regulate professional services firms, art dealers…
Is Crypto a Security? Insider Trading Case Leads to DOJ, SEC Scrutiny
USA - July 27 2022 Just one month after bringing the first ever insider trading case involving NFTs, the U.S. Attorney’s Office for the Southern District of New York…
Impact of Compliance Professional as New Fraud Section Chief
USA - June 13 2022 According to news reports, the U.S. Department of Justice (DOJ) has hired Glenn Leon, former compliance chief at Hewlett Packard Enterprise Co., to…
Fifth Circuit Holds That SEC Administrative Law Courts Are Unconstitutional
USA - May 23 2022 The most recent salvo in the long-running dispute about the constitutionality of the Securities and Exchange Commission’s (SEC) administrative law…
DOJ Issues Expedited FCPA Opinion, Shows Willingness to Communicate With Requestors
USA - February 7 2022 The U.S. Department of Justice (DOJ) recently released an opinion relating to extortion and duress under Foreign Corrupt Practices Act (FCPA) that…
New Tools in the Fight Against Counterfeit Pharmaceuticals
USA - January 27 2022 The explosive growth of internet pharmacies and direct-to-consumer shipment of pharmaceuticals has provided increased access to, and reduced the cost…
The Enforcement Climate is Changing for ESG Disclosures
USA - January 26 2022 Businesses and investment firms worldwide are rushing to embrace the use of Environmental, Social, and Corporate Governance (ESG) factors to educate…
SEC Proposes Amendments to the Requirements of Rule 10b5-1 Trading Plans
USA - December 22 2021 On December 15, the SEC announced proposed changes to Securities Exchange Act Rule 10b5-1 that, if adopted, would significantly alter an important…
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