‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInA Guide to Representing Parties in SEC Investigations in the Time of Coronavirus – Lexology
As defense counsel sit home multitasking among obligations to their clients, their firms, their family, friends and community, the financial regulators and enforcers have given every indication that the quarantines required by the coronavirus pandemic will not slow their enforcement efforts. Enforcement staff continues to open new investigations and pursue existing ones. As practitioners know, […]
The SEC’s China Evasion – WSJ
In an unprecedented public statement, the chairmen of the SEC and the PCAOB, along with SEC senior staff, warned investors that disclosures by SEC-registered companies from emerging markets may be incomplete and misleading. The commission’s cross-border regulation, oversight and enforcement—especially for activity from China—can’t be relied upon, the regulators said. We don’t question the need […]
FINRA Wants To Serve Docs By Email Amid Crisis Challenges – Law360
The Financial Industry Regulatory Authority says the shift to remote work caused by the coronavirus pandemic has made it difficult for its employees to serve documents in hard copy as required by law, but a quick rule change could ease the pressure. FINRA asked the U.S. Securities and Exchange Commission on Thursday to approve a […]