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Join the Securities Litigation and Enforcement Group on LinkedInXavier Oustalniol: French enforcement action under Sapin II – The FCPA Blog – The FCPA Blog
There is some recent news from the front lines concerning the Agence Française Anti-Corruption’s and French prosecutor’s actions against companies that violate the French Anti-Corruption Law, Sapin II, and the use of the Convention Judiciaire d’Interêt Public. The Agence Française Anti-Corruption (AFA) published new Convention Judiciaires d’Interêt Public (CJIP) concerning two separate corruption matters involving […]
Fact and Fiction: The SEC’s Oversight of Administrative Law Judges | CLS Blue Sky Blog
Here’s a figure about my new home that’s been getting a lot of attention: 90 percent. Supposedly, “in about 90% of cases, an SEC Administrative Law Judge’s (‘ALJ’) initial decision became final when the Commission [did not] engag[e] in plenary review” of the decision.[1] That statistic has become the basis for the argument that, since […]
Initial Coin Offering Attorneys Beware, You Could Be Next! | Crowdfund Insider
SEC enforcement actions taken directly against attorneys are on the rarer side but they do happen. When they do occur they typically involve allegations that the subject attorney was negligent or otherwise knowingly assisted a client in committing fraud. While to date the SEC has not hinted at any attorney(ies) knowingly committing, or otherwise assisting […]
Former SEC Official, Bank of America GC Lynch Rejoins Davis Polk | The American Lawyer
Davis Polk announced the homecoming on Monday, saying Lynch—who was previously a partner at the firm from 1989 to 2001—would bring a wealth of experience that spans sectors and stands to benefit clients. The news of Lynch’s return to Davis Polk comes on the heels of another recent hire by the firm, which on Thursday […]
SEC Commissioner Encourages Regtech Innovation And Focus On Cybersecurity – Fin Tech – United States
In remarks at the 2018 RegTech Data Summit, Mr. Piwowar underscored the precedential value of securities statutes, rules and court decisions in guiding the regulation of offerings related to new and emerging technologies. He argued that varying the traditional structure of an offering (such as by employing Distributed Ledger Technology) does not change its substance […]