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Insight

On January 10, 2024, the United States Attorney’s Office for the Southern District of New York (“SDNY”) introduced the SDNY Whistleblower Pilot Program (“Pilot Program”), aimed at encouraging individuals to disclose information about specific criminal offenses, particularly urging them to do so early and voluntarily. In return for their cooperation, SDNY will enter into a non-prosecution agreement (“NPA”) if certain conditions are met.

February 9, 2024
Insight
Insight

In a long overdue move to fill a perceived gap in U.S. law, this year’s National Defense Authorization Act included a new law that will finally criminalize the solicitation of bribes by foreign officials.

January 17, 2024
Insight
Insight

On November 14, the Securities and Exchange Commission (“SEC”) published its 2023 annual enforcement report which revealed a continuation of 2022’s record-setting enforcement activity.

November 17, 2023
Insight
Insight

Evaluating a broad spectrum of challenges raised by the U.S. Chamber of Commerce and others, a unanimous panel of the U.S. Court of Appeals for the Fifth Circuit recently held that the SEC failed to provide a sufficient rationale to justify its Share Repurchase Disclosure Modernization Rule (the “Final Rules”), rendering the Final Rules arbitrary and capricious.

November 16, 2023
Event Recap
Event Recap
Shareholder Litigation & Enforcement Partner Rebecca Fike joined Practising Law Institute's inSecurities Podcast to talk about insider trading, the SEC’s use of artificial intelligence and more.
November 16, 2023
Insight
Insight

It is one of the hardest questions a company can face: after discovering criminal conduct inside your company, do you self-report to the government or not?

October 12, 2023
Insight
Insight

The Securities and Exchange Commission (“SEC”) will soon have the tools necessary to enforce its longstanding rules regarding share repurchases.

May 18, 2023
Insight
Insight

Recent technological advances, including cryptocurrency and artificial intelligence (“AI”), have made their stamp on the Securities and Exchange Commission (“SEC”) and its goals.

April 24, 2023
Insight
Insight

On February 22, 2023, the Securities and Exchange Commission (“SEC”) issued a cease-and-desist order (the “Order”) charging African Gold Acquisition Corp. (“African Gold”) with multiple violations of the Securities Exchange Act of 1934 (the “Exchange Act”) related to African Gold’s failure to maintain a sufficient system of internal controls.1

March 9, 2023
Insight
Insight

On February 7, 2023, the Securities and Exchange Commission’s Division of Examination (the “Division”) announced its 2023 examination priorities to “provide insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets.”

February 13, 2023
Insight
Insight

On January 13, 2023, the Supreme Court granted certiorari in two consolidated cases from the Seventh Circuit to consider whether a defendant relying on an objectively reasonable interpretation of an ambiguous law acts “knowingly” in violation of the False Claims Act (“FCA”).

February 13, 2023
Insight
Insight

On February 3, 2023, the SEC announced that Activision Blizzard Inc. — the publicly traded video game developer and publisher of such well-known videogames as “Candy Crush” and “World of Warcraft” — “agreed to pay $35 million to settle charges that it failed to maintain disclosure controls and procedures to ensure that the company could assess whether its disclosures pertaining to its workforce were adequate” and “violated an SEC whistleblower protection rule” by impeding employees “from communicating directly with the Commission staff about a possible securities law violation.”

February 7, 2023