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Article

K&L Gates | USA | 7 Mar 2019

Another Cop on the International Beat: The CFTC Announces Expanded Focus on Foreign Corruption

On Wednesday, the U.S. Commodity Futures Trading Commission (“CFTC” or the “Commission”) became the latest government agency to formally set its

Article

K&L Gates | USA | 29 Jun 2018

Supreme Court Offers Others a Chance for a Second Bite at the Apple in Federal Administrative Adjudication Proceedings - But the Clock is Ticking

On June 21, 2018 the U.S. Supreme Court ruled in Lucia et al. V. Securities and Exchange Commission, that the appointment of certain

Article

Morvillo Abramowitz Grand Iason & Anello PC | USA | 26 Jun 2018

Justices Call Foul on SEC's Home Court Advantage

After the passage of the Dodd-Frank Act in 2010, the Securities and Exchange Commission increasingly began to rely on internal administrative

Article

Morvillo Abramowitz Grand Iason & Anello PC | USA | 26 Jun 2018

Justices Call Foul on SEC's Home Court Advantage

After the passage of the Dodd-Frank Act in 2010, the Securities and Exchange Commission increasingly began to rely on internal administrative

Article

McCarthy Tétrault LLP | USA, Canada | 7 Jun 2018

U.S. Government Accountability Office Publishes Report on Fintech Regulation

In March 2018, the United States Government Accountability Office (GAO) published a report on Fintech regulation (the “GAO Report”). The GAO Report

Article

Dechert LLP | USA | 16 May 2018

US Department of Justice Announces New Corporate Enforcement Penalty Policy

In a speech at the New York City Bar White Collar Crime Institute on May 9, 2018, Deputy Attorney General Rod Rosenstein announced a new U.S.

Article

Winston & Strawn LLP | USA | 3 Apr 2017

Financial Services Update, Vol. 12, Issue 14

Since January 20, there has been a flurry of activity at the White House affecting the regulation of financial services, including the issuance of

Article

Reed Smith LLP | USA | 2 Mar 2017

Regulators Prepare for Innovation in Distributed Ledger Technology

Regulators across the globe are considering how existing regulations may...

Article

Holland & Hart LLP | USA | 7 Feb 2017

SEC Targets Severance Agreements That Impede Whistleblowers

The U.S. Securities and Exchange Commission (SEC) is cracking down on severance agreements that prohibit former employees from contacting regulators

Article

Katten Muchin Rosenman LLP | USA | 29 Jan 2017

More Firms Sanctioned For Whistleblower Offenses by SEC

The Securities and Exchange Commission brought and settled two enforcement actions against publicly traded companies for including in at least some

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