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Features
When the SEC issues the next annual enforcement report for fiscal year 2025, we expect securities offering actions and investment adviser actions will almost certainly be up, and the “crypto” and “cyber” cases will almost certainly be down. Public statements by the new SEC administration have said as much, but even more telling than public statements are the allocation of limited enforcement resources.
Features
What does the second Trump administration augur for the False Claims Act? The question remains how, not if, the Trump DOJ will change DOJ’s enforcement policies, whether they will maintain current enforcement policies, and what the impact will be, especially for the FCA.
Features
The Freedom of Information Act (FOIA) stands at a critical juncture heading into 2025. Federal agencies are grappling with mounting backlogs, increasingly complex data landscapes, and rising cybersecurity threats. As a new administration takes office, the urgency to adopt innovative, effective solutions has never been greater.
Features
This article first discusses the legal backdrop of the UK’s new strict liability law and then summarizes what companies need to know about the new UK guidance, with particular emphasis on the areas where it expands on the ECCP.
Features
On Dec. 9, 2024, the Supreme Court will hear argument in Kousisis v. United States, a case that will again review the reach of the federal mail and wire fraud statutes. At issue this time is the so-called “fraudulent inducement” theory of property fraud — namely, whether deception to induce a commercial exchange can constitute mail or wire fraud, even if the infliction of economic harm on the alleged victim was not the object of the scheme.
Features
To gauge the level of risk and uncover potential gaps, compliance and privacy leaders should collaborate to consider how often they are monitoring third parties, what intelligence they are gathering with and about their partners and vendors, and whether their risk management practices have been diminished due to cost and resource constraints.
Features
The Securities and Exchange Commission (SEC) has underscored the critical importance of Marketing Rule compliance through a series of recent enforcement actions and risk alerts. This article delves into the challenges that investment advisers must navigate when marketing their services. It also explores how legal counsel and compliance consultants can effectively support their clients in adhering to both the explicit requirements and nuanced aspects of the Marketing Rule.
Features
By incentivizing individuals to report misconduct through its Whistleblower Pilot Program, the DOJ has expanded its arsenal and the means by which it can identify misconduct. So wrongdoers beware — although this is not the Old West, everybody loves a good bounty.
Features
The fight against financial crime is becoming increasingly complex. The increasing prominence of AI also means that firms may leave themselves exposed to unexpected risks if they do not carefully consider the quality of the data that fuels the AI system.
Features
DOJ's Cyber Fraud Initiative has been a wake-up call for companies to prioritize cybersecurity and adhere to stringent standards. By leveraging the FCA, DOJ has used a powerful enforcement tool to target a wide range of cybersecurity failures and misrepresentations. The increasing focus on cybersecurity by enforcement agencies means that robust cybersecurity practices are becoming a standard expectation, not just a best practice.