In May 2023, the SEC filed 40 actions and the CFTC filed seven, against a combined total of 72 defendants and respondents. (These figures exclude follow-on actions, bars and suspensions.)...
In recent speeches, Deputy Attorney General Lisa Monaco and Principal Associate Deputy Attorney General Marshall Miller laid out how the DOJ uses active corporate criminal enforcement and...
Last week, DOJ announced much-anticipated guidance on compensation clawbacks and the use of messaging apps, as well as modifications to its monitorship policies. The guidance provides com...
On February 22, 2023, in their roles on the Attorney General’s Advisory Committee, the U.S. Attorneys for the Eastern District of New York and the Southern District of New York announce...
On January 17, 2023, Assistant Attorney General Kenneth Polite announced changes to DOJ’s corporate enforcement policies, including applying the FCPA Corporate Enforcement Policy to all...
The proposed rule is the second step in creating a national registry of beneficial ownership information and would govern access to and the protection of information in the registry.
FinCEN’s final rule, which goes into effect January 1, 2024, establishes the requirements for reporting companies to submit their beneficial ownership and company applicant information ...
The U.S. Treasury and Justice Department released regulatory and legislative recommendations and priorities to address illicit finance risks connected to the digital assets ecosystem, fol...
On September 15, 2022, Deputy Attorney General Lisa Monaco provided additional guidance around DOJ’s corporate criminal enforcement. In a speech and accompanying memorandum, the DAG rei...
Last week, the SEC announced charges against Tenaris for violating the FCPA. The resolution, which included a payment of $78 million, is yet another follow-on case involving the Brazilian...
