Skip to content

Insights Search

36 Results
Insight
Insight

On May 25, 2022, the Securities and Exchange Commission (the “SEC”) introduced a proposal to amend certain rules and forms under the U.S. Investment Advisers Act of 1940 (the “Advisers Act”)1 to require investment advisers and investment companies to disclose additional information regarding their environmental, social, and governance (“ESG”) investment practices.

June 16, 2022
Insight
Insight

On May 23, 2022, the Securities and Exchange Commission (“SEC”) charged BNY Mellon Investment Adviser, Inc. (“BNYMIA”) for material misstatements and omissions regarding its consideration of Environmental, Social, and Governance (ESG) matters in making investment decisions for certain mutual funds.

May 25, 2022
Insight
Insight

On March 9, 2022, the Securities and Exchange Commission (“SEC”) announced Proposed Rules on cybersecurity risk management, strategy, governance, and incident disclosure (“Proposed Rules”) to address concerns of increasing cybersecurity threats to public companies.

May 24, 2022
Insight
Insight

On May 18, 2022, the Fifth Circuit issued an opinion vacating a Securities and Exchange Commission (“SEC”) Administrative Law Judge’s (“ALJ”) decision that George Jarkesy, Jr. (“Jarkesy”) and his investment adviser Patriot28, L.L.C. (“Patriot28”) committed securities fraud.

May 19, 2022
Insight
Insight

On May 6, 2022, the Securities and Exchange Commission (“SEC”) announced a $5.5 million settlement of charges against NVIDIA Corporation (“NVIDIA”) for allegedly failing to adequately disclose in the Management’s Discussion and Analysis of Financial Condition and Results of Operations (“MD&A”) section of its Forms 10-Q the fact that cryptomining was a significant factor in the year-over-year growth in its more traditional gaming business.

May 16, 2022
Insight
Insight

On April 18, 2022, the Securities and Exchange Commission (“SEC”) announced the fourth enforcement action arising from its EPS Initiative, charging Rollins Inc. (“Rollins”) and its former chief financial officer (“CFO”) with violating Section 17(a) of the Securities Act of 1933 (“Securities Act”) and Sections 13(a), 13(b)(2)(A), and 13(b)(5) of the Securities Exchange Act of 1934 (“Exchange Act”) by engaging in improper accounting practices in order to boost the company’s publicly reported quarterly earnings per share (“EPS”) to meet research analysts’ consensus estimates.

May 5, 2022
Insight
Insight

In yet another indication that the Biden administration is continuing to ramp up white collar enforcement, the U.S. Department of Justice (“DOJ”) and Securities and Exchange Commission (“SEC”) announced on April 20, 2022 that Stericycle, Inc. (“Stericycle”), an Illinois-based international waste management company, has agreed to pay more than $84 million to resolve parallel Foreign Corrupt Practices Act (“FCPA”) investigations by authorities in the United States and Brazil.

April 28, 2022
Insight
Insight

On March 9, 2022, the Securities and Exchange Commission (“SEC”) announced Proposed Rules on cybersecurity risk management, strategy, governance, and incident disclosure (“Proposed Rules”) to address concerns of increasing cybersecurity threats to public companies.

April 21, 2022
Insight
Insight

In a dramatic departure from prior practice, the U.S. Department of Justice (“DOJ”) recently released its second Opinion Procedure Release (“OPR”) in the last two years, following a half-decade of dormancy, and perhaps responding to criticism from the business community, DOJ actually provided actionable and immediate guidance to a company facing imminent harm.

April 6, 2022
Insight
Insight

For those facing a potential enforcement recommendation at the close of a white collar investigation, choosing whether to litigate against or settle with the government agency is a critical strategic crossroads.

April 6, 2022
Event Recap
Event Recap
On Tuesday, April 5, 2022, a panel of former Securities and Exchange Commission officials and the current Director of the Fort Worth Regional Office share their thoughts on the SEC’s “unprecedented rulemaking”
April 5, 2022
Video
Insight
Insight

Even as supply chains face increased pressure due to COVID-19, the invasion of Ukraine by Russia, sanctions imposed upon Russia, and extreme weather, businesses continue to implement and develop Supplier Codes of Conduct in order to make their supply chains more ESG-compliant.

March 23, 2022