SEC Tightens Rules on Scheduling Trades In Advance
February 01, 2023
General counsel may find themselves pulled into difficult conversations with top executives as the Securities and Exchange Commission tightens its rules on company insiders looking to dump their stock.
Cryptocurrency: Rich In Investment Opportunity; Ripe for Fraud Schemes
January 01, 2023
The recent implosion of FTX Trading leaves investors and their advisers wondering whether any crypto investment is safe. There have been dozens of cryptocurrency-related fraud schemes in recent years including Ponzi schemes and investment schemes using crypto and the blockchain to facilitate the fraud scheme.
What the SEC May Be Signaling Through Its Approach to NFTs and F-NFTs
January 01, 2023
Recent actions by the U.S. Securities and Exchange Commission (SEC), together with certain statements by SEC commissioners, may indicate a shift in approach toward a rebuttable presumption that digital assets are securities, without deference to formal legal tests.
Impact of 'Hoskins' Cases on the FCPA and White-Collar Law
January 01, 2023
This article examines the impact of Hoskins on three issues of importance to white-collar practitioners: the scope of the FCPA; the interpretation of white-collar criminal statutes; and the authority of the district court to consider at the outset of a prosecution threshold questions of the reach of the law to foreign individuals.
Online Harassment In the Workplace
December 01, 2022
As businesses expand their use of augmented reality games for the purpose of meeting and recruitment, internet harassment has become more prominent, particularly workplace sexual harassment.
Using Anti-Bribery and Corruption Regimes for ESG Concerns
December 01, 2022
Compliance leaders recognize that Environmental, Social and Governance (ESG) is a growing concern for U.S. companies, but face challenges in determining how to embed compliance structures into their programs. One solution is to look to already existing anti-bribery and corruption (AB&C) compliance measures.
Insider Trading Evolving Beyond Just Securities As DOJ Targets NFTS and Crypto
December 01, 2022
In two recent notable cases involving NFTs and cryptocurrency markets, the DOJ has brought insider trading charges under the wire fraud statute without claiming that any securities were involved. These cases demonstrate the substantial flexibility federal prosecutors have — or at least believe they have — in charging insider trading and underscore the oft-recognized need for a federal statute expressly addressing insider trading.
Regulators Renew Focus on Individual Liability for Gatekeepers
December 01, 2022
A rising tide of regulation is headed for corporate compliance officers and in-house lawyers. Corporate accountability is a key priority for the DOJ and SEC, and both agencies have renewed their focus on individual liability for gatekeepers, including lawyers, accountants, underwriters and auditors.
