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In recent months, the U.S. Department of Justice (DOJ) has raised expectations for companies to use data analytics to monitor the effectiveness of their compliance programs and to identify potential misconduct. By its terms, data analytics is the process of analyzing raw data in order to discover useful information to inform conclusions and decision-making. The DOJ has increasingly used data analytics to identify potential wrongdoing and has recently sent the message that it expects companies to follow suit and incorporate data analytics in their compliance programs. In June 2020, the Criminal Division of the DOJ issued revised guidance (June 2020 Guidance) about how it will evaluate corporate compliance programs, and it included specific references to the use of data analytics. U.S. Dep’t of Justice, Criminal Div., Evaluation of Corporate Compliance Programs (June 2020).
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Climate Change Risk and Disclosure: A New Focus for SEC Enforcement
By Jacqueline C. Wolff
Given the massive amount of dollars being poured into ESG funds and the SEC’s renewed focus on both the funds and the companies in the funds, there is no time like the present for companies to engage in an assessment of their climate risks and how these risks and the status of the companies’ ESG goals are being relayed to investors.
Government Looking Into Insider Trading By Tipping Block Trades
By Michael Miller and Daniel Podair
How the government might frame insider trading cases based on allegations of tipping before the execution of block trades in securities.
Individual Liability and Criminalizing Cybersecurity Response
By Jonathan S. Sack and Christopher M. Hurley
To date, cybersecurity has generally been viewed as an organizational responsibility, and data breaches similarly have been treated as organizational weaknesses or failures. Against this backdrop of organizational responsibility, the Department of Justice has brought a noteworthy criminal case against an individual for his personal response to a corporate data breach.
Repairing the Foreign Agents Registration Act
By Harry Sandick and George Carotenuto
In recent years, mostly due to the well-publicized prosecution of Trump campaign manager Paul Manafort, FARA has become more of a focus for federal prosecutors. As a result, white-collar attorneys have been consulted more often about whether particular conduct requires registration under the Act.
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