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In recent years, the Securities and Exchange Commission (the “SEC”) has increasingly brought enforcement actions against chief compliance officers (“CCOs”) in their personal capacities.

June 10, 2021
Insight
Insight

In his April 28, 2021 address, President Biden asked Congress to provide $80 billion of extra funding for the Internal Revenue Service (“IRS”) over the next decade.

May 6, 2021
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Insight

A new decision from the First Circuit upholding the federal government’s authority to search the electronic devices of anyone entering the United States — in some instances without a warrant, probable cause, or even reasonable suspicion — presents various data-security challenges for companies and organizations of all sizes.

February 18, 2021
Insight
Insight

The Financial Industry Regulatory Authority (“FINRA”) recently released its annual Risk Monitoring and Examination Activities Report (the “Report”).

February 10, 2021
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Insight

On September 29, 2020, the Department of Defense (“DoD”) issued an Interim Rule to supplement its Cybersecurity Maturity Model Certification (“CMMC”) program with a DoD Assessment Methodology.

October 14, 2020
Insight
Insight

On July 28, 2020, the Small Business Administration’s (“SBA”) Inspector General (“IG”), Hannibal “Mike” Ware, issued a Management Alert informing SBA Administrator Jovita Carranza that the IG’s preliminary review of the Economic Injury Disaster Loan and Advance (“EIDL”) grant program revealed strong indicators of widespread potential fraud.

August 6, 2020
Insight
Insight

On March 26, 2020, as government officials issued a slew of stay-at-home orders, the U.S. Environmental Protection Agency (EPA) published an emergency policy memorandum describing how the agency would exercise its enforcement discretion during the COVID-19 crisis.1

July 28, 2020
Event Recap
Event Recap
V&E partners Mike Dry and Fry Wernick, both former senior federal prosecutors at the Department of Justice (DOJ), give their assessment of recent events in Washington, DC and what it could mean for you and ...
July 16, 2020
Video
Event Recap
Event Recap
On June 25, 2020, V&E partner Fry Wernick spoke on a Wall Street Journal / Dow Jones Risk & Compliance panel entitled, “Lessons from Recent Compliance Failures.”
June 25, 2020
Insight
Insight

The global coronavirus pandemic has brought confusion and uncertainty to just about every aspect of life, but one thing remains constant: following a dramatic drop in stock price, an issuer’s public statements will be scrutinized, and securities litigation may follow.

June 23, 2020
Insight
Insight

In early June, federal agencies brought some of the first enforcement actions against COVID-19 securities fraudsters, involving over $100 million in fraudulent claims and profits, making good on their promise to investigate and prosecute those seeking to fraudulently capitalize on the COVID-19 crisis.

June 18, 2020
Event Recap
Event Recap
Practising Law Institute and Vinson & Elkins are pleased to present a webinar on the potential corporate compliance risks resulting from COVID-19.
June 17, 2020