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After Monitoring Rakoff-SEC Battle, Ontario Limits ‘No-Consent’ Settlements – Compliance Week

After monitoring the growing judicial unrest in the U.S. with respect to approving “no admit, no deny” SEC settlements, the Ontario Securities Commission changed a proposed new rule this week that would have allowed such “no-contest” settlements (the OSC’s term for settlements that do not include an admission of a breach of securities law) in its […]

An Open Letter to SEC Chair Mary Jo White — Corporate Counsel

Dear Securities and Exchange Commission Chair Mary Jo White: Welcome to the SEC. By this point, you may be wondering why you agreed to serve. Trust me: after your first few months in office, it gets worse. As an alumnus of the agency who served more than two decades in a variety of SEC offices […]