Skip to content

Insights Search

13 Results
Coronavirus: Preparation & Response
Coronavirus: Preparation & Response

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

Coronavirus: Preparation & Response

The V&E Report

April 8, 2020
The V&E Report
The V&E Report

Last week on November 6, 2019, the SEC Enforcement Division released its annual report on the Commission’s enforcement activities for the fiscal year.

The V&E Report

November 13, 2019
The V&E Report
The V&E Report

In a significant departure from previous practice, the Department of Justice (“DOJ”) imposed a corporate monitor on a company even after it engaged in extensive remedial measures and enhanced its…

Published in Law360, June 24, 2019

The V&E Report

June 21, 2019
The V&E Report
The V&E Report

On May 9, 2019, SEC Commissioner Hester M. Peirce delivered a speech via video conference to the Securities Enforcement Forum lamenting the Commission’s failure to develop meaningful regulation in…

The V&E Report

May 15, 2019
The V&E Report
The V&E Report

A recent decision by a district judge in the Southern District of New York demonstrates that when a company’s outside counsel conducts an investigation in connection with a government investigation…

The V&E Report

May 9, 2019
The V&E Report
The V&E Report

P. T. Barnum is credited as saying “There is no such thing as bad publicity.” That may be true in running a circus, but it is demonstrably untrue in running a public company.

The V&E Report

April 11, 2019
The V&E Report
The V&E Report

In 2017, the SEC’s enforcement power faced a setback when, in Kokesh v. SEC , 1 the Supreme Court curtailed its ability to seek disgorgement outside the five-year statute of limitations period for…

The V&E Report

April 10, 2019
The V&E Report
The V&E Report

The Supreme Court has now made clear that a person can be held liable for disseminating false or misleading statements with the intent to defraud, under SEC Rules 10b-5(a) and (c) even if the person…

The V&E Report

April 4, 2019
The V&E Report
The V&E Report

Last week, the Department of Justice (“DOJ” or “Department”) made a series of changes to the 2017 FCPA Corporate Enforcement Policy (“Policy”) contained in the Justice Manual (until last year, known…

The V&E Report

March 20, 2019
The V&E Report
The V&E Report

On March 6, Director James M. McDonald of the U.S. Commodity Futures Trading Commission (“CFTC”) announced a new Enforcement Advisory at the American Bar Association’s National Institute on White…

The V&E Report

March 7, 2019
The V&E Report
The V&E Report

In the first FCPA enforcement action of the 2019 season, DOJ issued a particularly lenient declination to Cognizant Technology Solutions Corporation, but required additional disgorgement beyond what…

The V&E Report

March 7, 2019
The V&E Report
The V&E Report

On January 24, 2019, the Tenth Circuit held in SEC v. Scoville that the antifraud provisions of the federal securities laws once again have extraterritorial application, providing the government new…

The V&E Report

February 20, 2019