Insider trading enforcement has been robust in 2022, with the Department of Justice, Securities and Exchange Commission, and Commodity Futures Trading Commission bringing numerous high-profile case...
In the midst of the COVID-19 pandemic, the U.S. legal system faced an intricate issue concerning the Confrontation Clause of the Sixth Amendment. The question at hand was whether a court should per...
On March 23, 2023, key figures from the Department of Justice (DOJ) convened with white-collar attorneys, corporate legal teams, and scholars at the Global Investigations Review (GIR) Live spring c...
As we navigate through 2023, the global economy is progressively emerging from the shadow of the COVID-19 pandemic. But the aftermath of this unprecedented crisis, particularly its impact on corpor...
The Micro-Cap IPO marketplace started 2023 on a strong note, as 23 issuers successfully conducted their initial public offerings (IPOs) in the first quarter (Q1). Despite some variations in compari...
This article discussed the Financial Crimes Enforcement Network's (FinCEN) proposed beneficial ownership reporting requirements for private companies. This proposal was put forward in December 2021...
The Securities Industry and Financial Markets Association (SIFMA) recently hosted its Compliance & Legal Annual Seminar for 2023 in San Diego. The event, a cornerstone for legal and compliance ...
In a recent session at the ABA White Collar Crime Conference, key figures from the Department of Justice (DOJ), Securities and Exchange Commission (SEC), U.S. Attorney's Office for the Southern Dis...
The Securities and Exchange Commission (SEC) introduced significant amendments to the 15c2-11 rules back in September 2020. The revised regulations, better known as the 211 rules, came into force o...
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