The SEC filed an enforcement action involving a public company’s cybersecurity disclosure. The action highlights the need for executives responsible for SEC reporting to be informed pro...
The House of Representatives has passed a bill on a bipartisan basis that would be the first statute directly banning insider trading in the securities markets. The bill largely would pr...
The Securities and Exchange Commission’s recent case against a registered broker-dealer for not filing Suspicious Activity Reports (SARs) reinforces the SEC’s focus on anti-money laun...
The U.S. federal banking agencies have issued an interagency statement addressing industry questions on model risk management and AML compliance. Specifically, the statement clarifies th...
Webinar
1.0 CA - General; NY - Professional Practice / Practice Management
Davis Polk lawyers with deep experience in anti-money laundering discuss enforcement trends and other key developments in this area, including the 10 key steps (plus a bonus) that financi...
The Financial Crimes Enforcement Network of the U.S. Department of the Treasury has begun a rulemaking to implement the beneficial ownership reporting provisions of the new Corporate Tran...
Parties considering whether to settle an SEC enforcement investigation or criminal proceeding have a reasonable expectation that they will know the likely consequences of a settlement. T...
In a recently issued administrative order, the SEC implicitly acknowledged that the limiting principles for disgorgement that the Supreme Court outlined in Liu v. Securities and Exchange ...
Davis Polk is pleased to present its DOJ and SEC FCPA Resolution Tracker. The tracker details key characteristics of corporate and individual FCPA resolutions and is available through the...
Webinar
1.0 CA - General; NY - Professional Practice / Practice Management
Davis Polk’s webinar reviews key developments in 2020 and the outlook for this year in anti-corruption and FCPA enforcement and related areas. Topics include:
Notable DOJ and SEC Enf...
