CFTC
CFTC Publishes Proposed Guidance on Futures Exchanges’ Listings of Voluntary Carbon Credits and What this Means in the Context of Other Developments in this MarketForm PF, Take Two: The SEC and CFTC Propose Further Amendments To Reporting Obligations For Private Equity and Hedge FundsCFTC Division of Enforcement Releases Guidance on Evaluating Compliance Programs
Deterrence
SEC Brings Enforcement Action Against Global Brokerage Company, Finding False and Misleading Statements In Connection With Non-GAAP Financial MeasuresTask Force Led By Preet Bharara and Cleary Gottlieb’s Joon H. Kim Issues Report Recommending Reforms to Insider Trading LawIRS Issues Guidance on Deductibility of Settlement Payments Under New Law
DOJ
DOJ Criminal Division Announces White Collar Enforcement Plan and Revisions to Three Key PoliciesDOJ Issues Additional Guidance as Data Security Program Enters into Effect; Limits Enforcement for First 90 DaysU.S. Supreme Court Lifts Initial Injunction Against Enforcement Of Corporate Transparency Act, But A Separate Injunction Continues To Halt Implementation
DOJ Developments
DOJ Criminal Division Announces White Collar Enforcement Plan and Revisions to Three Key PoliciesDOJ Issues Additional Guidance as Data Security Program Enters into Effect; Limits Enforcement for First 90 DaysU.S. Supreme Court Lifts Initial Injunction Against Enforcement Of Corporate Transparency Act, But A Separate Injunction Continues To Halt Implementation
Financial Institutions
U.S. Supreme Court Lifts Initial Injunction Against Enforcement Of Corporate Transparency Act, But A Separate Injunction Continues To Halt Implementation SEC FY 2024 Enforcement Results: Record Dollars But Many Fewer CasesThe Next Market Structure Rule Arrives: SEC Adopts New Minimum Pricing Increments and Access Fee Caps
FinTech
FDIC Continues Rulemakings Related to Misrepresentation in Advertising: Digital Asset Businesses Still in the CrosshairsOFAC and FinCEN Announce Joint Enforcement Action Against U.S.-Based Digital Asset ExchangeFDIC Issues Cease and Desist Letters to Companies for Crypto-Related Representations About Deposit Insurance
ICOs
SEC Issues Enforcement Action Against Unikrn, Inc. for its ICO, Prompting Rare Public Dissent from Commissioner Hester PeirceSEC Files First Suit Against Alleged Unregistered Broker-Dealer Operating in Digital Asset MarketsSEC Issues First ICO Enforcement Action Against a Self-Reporting Token Issuer
Latin America
DOJ Provides Updates on FCPA and Corporate Criminal Enforcement Trends at International Conference on the FCPAU.S. Department of Justice Announces Changes to Corporate Criminal Enforcement PoliciesSecond Circuit Upholds District Court’s Rejection of DOJ Attempt to Expand Extraterritorial Reach of FCPA Through Agency Liability
Whistle Blower
Whistleblowing in Focus: Recent Developments, Emerging Issues, and Considerations for Companies. Part Three: Looking AheadWhistleblowing in Focus: Recent Developments, Emerging Issues, and Considerations for Companies. Part Two: Global DevelopmentsDOJ Announces Revisions to Compliance Guidance Focused on AI, Whistleblower Reporting, and Other Areas