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A recent decision out of the Southern District of New York emphasizes the importance of considering all obligations under the federal securities laws for any transaction that might involve a “security.”

The COVID-19 pandemic has caused enormous pain and financial harm and it will take months, or even years, before we know its full impact.

The SEC’s Enforcement Division recently issued a statement emphasizing the “importance of maintaining market integrity and following corporate controls” during the stock market volatility caused by the COVID-19 outbreak.¹

Among the countless challenges caused by COVID-19, the pandemic has wreaked havoc on supply and demand patterns nationwide…

In December 2019, the Department of Justice (“DOJ”) announced a new Export Control and Sanctions Enforcement Policy for Business Organizations (the “Policy”) regarding voluntary self-disclosures of potentially criminal violations of export control and sanctions laws…

In a speech at the American Bar Association Antitrust Law Section’s International Cartel Conference in San Francisco last week, Deputy Assistant Attorney General Richard A. Powers reaffirmed the Antitrust Division’s commitment to its mission of deterring, detecting, and prosecuting criminal antitrust conduct…

When the DOJ announced that its Antitrust Division would focus attention on regulating “market-leading online platforms,” you may not have guessed it would zero in on non-competition related violations by healthcare platforms seeking to unify doctors, patients, and e-prescribing pharmacies as opposed to Big Tech…

On January 17, 2020, the United Kingdom’s Serious Fraud Office (“SFO”) published new guidance regarding how the office assesses the compliance programs of organizations that are under investigation…

On January 14, 2020, the Department of Defense (“DoD”) Office of the Inspector General (“DoDIG”) publicly released a report criticizing contracting officers at the Defense Contract Management Agency…

Last week, the U.S. Securities and Exchange Commission (the “SEC”) initiated its third try to pass a rule on “Disclosure of Payments by Resource Extraction Issuers,” 1 which would govern the…

Sarah Lawson, the General Counsel of the U.K.’s Serious Fraud Office (“SFO”), recently emphasized that corporate compliance functions must be well resourced and that the SFO expects such programs…

The U.S. Commodity Futures Trading Commission (“CFTC”) is entering the fight against foreign bribery and corruption.