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Join the Securities Litigation and Enforcement Group on LinkedIn‘Gun-Shy’: How Federal Prosecutors Forgot Silicon Valley — The Information
The two offices are vastly different both in culture and their approach to white-collar crime. New York prosecutors often deploy techniques associated with organized crime investigations, including wiretapping, executing search warrants and flipping suspects to testify against bigger targets. Prosecutors in San Francisco, meanwhile, typically will issue a grand jury subpoena and request emails from […]
New Director, New Direction? Initial insight into the next era at the Serious Fraud Office | Allen & Overy LLP – JDSupra
The question on everyone’s mind since the announcement of the Director of the SFO on 4 June 2018 has been: how (if at all) will the new Director change the SFO’s strategic direction and enforcement priorities? We have had the first insight into that topic with the speech delivered in September by Lisa Osofsky in […]
Tesla Faces Deepening Criminal Probe Over Whether It Misstated Production Figures – WSJ
Tesla Inc., with a fresh civil fraud settlement now behind it, faces a new legal problem: a deepening criminal investigation. Federal Bureau of Investigation agents are examining whether Tesla misstated information about production of its Model 3 sedans and misled investors about the company’s business going back to early 2017, people familiar with the matter […]
The SEC Launches FinHub – New Resource for Public Engagement on FinTech Matters | White & Case LLP – JDSupra
On October 18, 2018, the US Securities and Exchange Commission (the “SEC” or the “Commission”) announced its launch of a new “strategic hub for innovation and financial technology” the Commission is calling FinHub. What is FinHub? The Commission describes FinHub as “a resource for public engagement on the SEC’s FinTech-related issues and initiatives, such as […]
FinHub — SEC.gov
Welcome to the SEC’s Strategic Hub for Innovation and Financial Technology (FinHub). As financial technologies, methods of capital formation, market structures, and investor interfaces continue to evolve, FinHub will play an important role in facilitating the SEC’s active engagement with innovators, developers, and entrepreneurs. In addition to being a resource for information about the SEC’s […]
Cryptocurrency Markets Quiet for Now, but Catalysts for Moves Loom – TheStreet
Cryptocurrency markets have been unusually quiet lately, but some are viewing that as the proverbial calm before the storm. That’s because the Securities and Exchange Commission — the dominant US regulatory body that oversees securities regulations — is set to soon respond to a request for a new Bitcoin ETF. And that’s on the heels of the […]
The Catch with Kokesh: Insurers Refusing to Cover Disgorgement to SEC – King & Spalding
While the J.P. Morgan decision will not be the final word on the insurability of disgorgement, the policy language at issue is commonplace and insurers certainly will cite the case to support denials of coverage. Additionally, courts in a number of states have held that fines and penalties are not insurable as a matter of […]
SEC “Outsider Trading”? Enforcement: The Silence is Deafening | LinkedIn
It was just a year or so ago when the SEC learned first-hand what it’s like to experience a data breach. Like a cardiologist who suffers a heart attack and could uniquely empathize with patients, the SEC, after suffering the EDGAR data breach, could now uniquely empathize with the cybersecurity challenges faced by financial firms. When […]
Compliance Thought Leaders You Should Be Following | GAN Integrity
Compiling a list of thought leaders in ethics and compliance is fun, but so challenging. There are simply too many thoughtful people in this field — which is itself enormous and wide-ranging — to call out everyone worth following. So below is a small slice of the thinkers in corporate ethics and compliance that I […]
Most cryptocurrency offerings trading below listing price -report | Reuters
Almost a third of all cryptocurrencies that were financed through online fundraisers last year have lost “substantially all value,” while the vast majority are trading below their listing price, according to an Ernst & Young report published on Friday. via Most cryptocurrency offerings trading below listing price -report | Reuters.