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Enforcement 2016: Perspectives from Government Agencies
Chair(s):
Richard D. Owens, Joan E. McKown, Linda Chatman Thomsen
Practice Area:
Corporate & Securities, Litigation
Published:
May 2016
ISBN:
9781402426711
PLI Item #:
149915
CHB Spine #:
B2241
This version is not current.
Click here for the most recent version.
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Trends in SEC Enforcement & Internal Investigations
Chapter 2. CFTC Expanded Anti-Manipulation Authority to Prohibit Fraudulent and Manipulative Behavior; CFTC Disruptive Trading Practices Interpretive Guidance
Chapter 3. Business E-Mail Compromise
Chapter 4. If the FTC Comes to Call, Federal Trade Commission (May 20, 2015)
Chapter 5. National Exam Program Risk Alert, OCIE’s 2015 Cybersecurity Examination Initiative, Volume IV, Issue 8 (September 15, 2015)
Chapter 6. Our Shared Responsibility, National Cyber Security Awareness Month (October 1, 2015)
Chapter 7. Reports of Investigations, Securities and Exchange Commission, Securities Exchange Act of 1934, Release No. 44969 (October 23, 2001)
Chapter 8. SEC Charges 32 Defendants in Scheme to Trade on Hacked News Releases: Hackers, Traders Allegedly Reaped More than $100 Million of Illegal Profits (August 11, 2015)
Chapter 9. SEC Charges Investment Adviser with Failing to Adopt Proper Cybersecurity Policies and Procedures Prior to Breach, For Immediate Release (September 22, 2015)
Chapter 10. Start with Security, A Guide for Business, Lessons Learned from FTC Cases
Chapter 11. FINRA 2016 Regulatory and Examination Priorities Letter
Chapter 12. NASAA Enforcement Report, 2015 Report on 2014 Data (September 2015)
Chapter 13. Regulatory Overview: State Securities Regulators Examinations, Enforcement & Selected Topics
Chapter 14. Directors Forum 2016 Keynote Address, Andrew Ceresney, Director, Division of Enforcement (January 25, 2016)
Chapter 15. Cleary Gottlieb, Alert Memorandum, Selected Issues for Boards of Directors in 2016 (January 26, 2016)
Chapter 16. Cleary Gottlieb, Alert Memorandum, U.S. Continues Incremental Easing of Cuban Sanctions (January 28, 2016)
Chapter 17. Division of Enforcement Approach to Forum Selection in Contested Actions
Chapter 18. SEC Proposes to Amend Rules Governing Administrative Proceedings, For Immediate Release (September 24, 2015)
Chapter 19. Jarkesy v. SEC, 803 F.3d 9 (September 29, 2015)
Chapter 20. Hill v. SEC, 14 F.Supp.3d 1297 (2015)
Chapter 21. U.S. v. Newman, 773 F.3d 438 (2014)
Chapter 22. U.S. v. Salman, 792 F.3d 1087 (2015)
Chapter 23. Memorandum of Sally Quillian Yates
Chapter 24. U.S. v. Wells Fargo Bank N.A.,—F.Supp.3d—(2015); 2015 WL 5582120
Chapter 25. PCAOB, Standard-Setting Agenda, Office of the Chief Auditor (December 31, 2015)
Chapter 26. PCAOB Sanctions Hong Kong Audit Firm and Three Individuals For Failing to Cooperate with Board Investigation (January 13, 2016)
Chapter 27. Legal and Policy Developments
Chapter 28. Selected Ethics Topics (February 16, 2015)
Chapter 29. King & Spalding, 2014 Update on the SEC’s Lawyer Discipline Program (September 4, 2014)
Chapter 30. King & Spalding Client Alert, Post-Newman Reality: Investigations Involving Unwitting “Tips” to Close Friends and Relatives Will Continue (October 8, 2015)
Chapter 31. Law 360, Ceresney’s Cues on Future of Market Structure Enforcement
Index
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