‘Enforcement 40’ for 2020
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By Securities Docket on July 15, 2020, 8:45 am
Mayer Brown has continued the expansion of its regulatory, investigations and enforcement capabilities with the arrival of prominent federal prosecutor Gina Parlovecchio, who joins the firm as a partner in the global White Collar Defense & Compliance and Regulatory & Investigations practice groups in New York. Previously, Ms. Parlovecchio was an Assistant United States Attorney […]
By Securities Docket on July 15, 2020, 8:30 am
On July 3, 2020, the Department of Justice (DOJ) and Securities and Exchange Commission released the second edition of the Resource Guide to the U.S. Foreign Corrupt Practices Act (2020 Guide). The 2020 Guide refreshes the prior edition by incorporating significant policies that have been released by the DOJ since the first edition. The 2020 […]
By Securities Docket on July 15, 2020, 8:28 am
The Securities and Exchange Commission today announced a $3.8 million award to a whistleblower who provided significant information that helped the SEC disrupt an ongoing fraudulent scheme. The resulting enforcement action returned millions of dollars to harmed investors. via SEC.gov | SEC Issues $3.8 Million Whistleblower Award.
By Securities Docket on July 15, 2020, 7:40 am
As the agency primarily responsible for the investigation of potential misconduct within the financial services sector in the UK, the Financial Conduct Authority (FCA) continues to investigate many diverse forms of suspected misconduct. While the number of cases under investigation by the FCA’s Enforcement Division continues to grow, there have been signs in the past […]