On January 17, 2023, Assistant Attorney General Kenneth Polite announced changes to DOJ’s corporate enforcement policies, including applying the FCPA Corporate Enforcement Policy to all c...
The SEC has proposed a package of reforms to equity market structure rules that would make significant changes, including to how stock orders are priced, executed and reported.
A federal district court decision involving alleged Regulation FD violations highlighted analysis of key elements governing the regulation relating to whether information is material and ...
On September 15, 2022, Deputy Attorney General Lisa Monaco provided additional guidance around DOJ’s corporate criminal enforcement. In a speech and accompanying memorandum, the DAG rei...
Davis Polk has launched a new interactive series of webinars for companies that have recently gone public via a de-SPAC business combination transaction. This program is designed for seni...
Last week, the SEC announced charges against Tenaris for violating the FCPA. The resolution, which included a payment of $78 million, is yet another follow-on case involving the Brazilian...
On May 18, the U.S. Court of Appeals for the Fifth Circuit ruled that the SEC’s administrative proceedings are unconstitutional on three independent grounds. The decision could potenti...
In a pair of speeches last week, the Assistant Attorney General of DOJ’s Criminal Division emphasized its focus on compliance and announced that he has instructed his prosecutors to con...
The SEC proposed new cybersecurity rules for investment advisers and investment companies that would require policies and procedures, annual reviews, reporting to the SEC, disclosures to ...
