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Foley Hoag Securities Enforcement Alert

Securities and Exchange Commission Year in Review: Enforcement Actions and Issues from 2020

by Lisa C. Wood, John W.R. Murray, Christian Garcia, E. Jacqueline Chávez

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Title Date Authors Category Download
SEC Office of Compliance Inspections and Examinations Issues 2020 Examination Priorities January 13, 2020 John W.R. Murray White Collar Crime and Government Investigations Alert Download SEC Office of Compliance Inspections and Examinations Issues 2020 Examination Priorities pdf file
Insider Trading, Congress and COVID-19: A Renewed Focus on the STOCK Act April 15, 2020 John W.R. Murray, Christian Garcia White Collar Crime and Government Investigations Alert Download Insider Trading, Congress and COVID-19: A Renewed Focus on the STOCK Act pdf file
Lessons From SEC's Bribery Claim Against Ex-Goldman Exec May 21, 2020 John W.R. Murray, Shrutih V. Tewarie White Collar Crime and Government Investigations Alert Download Lessons From SEC's Bribery Claim Against Ex-Goldman Exec pdf file
DOJ Updates Guidance on Evaluating Corporate Compliance Programs June 16, 2020 John Marston, John W.R. Murray White Collar Crime and Government Investigations Alert Download DOJ Updates Guidance on Evaluating Corporate Compliance Programs pdf file
DOJ and SEC Release Second Edition of FCPA Resource Guide July 6, 2020 Shrutih V. Tewarie, Anthony D. Mirenda, John W.R. Murray White Collar Crime and Government Investigations Alert Download DOJ and SEC Release Second Edition of FCPA Resource Guide pdf file
SEC Amends Whistleblower Rules September 28, 2020 John W.R. Murray White Collar Crime and Government Investigations Alert Download SEC Amends Whistleblower Rules pdf file
SEC Brings First Enforcement Action Against Issuer for Disclosures About Financial Effects of COVID-19 December 8, 2020 John W.R. Murray, John D. Hancock White Collar Crime and Government Investigations Alert Download SEC Brings First Enforcement Action Against Issuer for Disclosures About Financial Effects of COVID-19 pdf file
Congress Expands SEC’s Disgorgement Power in Defense Spending Bill January 8, 2021 John W.R. Murray White Collar Crime and Government Investigations Alert Download Congress Expands SEC’s Disgorgement Power in Defense Spending Bill pdf file
U.S. Supreme Court Vacates Second Circuit’s Expansion of Criminal Insider Trading Liability January 25, 2021 John W.R. Murray, Christian Garcia White Collar Crime and Government Investigations Alert Download U.S. Supreme Court Vacates Second Circuit’s Expansion of Criminal Insider Trading Liability     pdf file
Pandemic Fraud April 1, 2021 Rachel Davidson White Collar Crime and Government Investigations Alert Download Pandemic Fraud pdf file

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