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Request for Good Faith Finding in New York Article 77 Proceedings May Not Waive Privilege
March 8, 2023 | Blog | By Keith Kollmeyer, Alyssa C. Scruggs
DOJ’s Criminal Division Announces Key Policy Updates Regarding Compensation, Compliance Programs, and Monitors
March 7, 2023 | Blog | By Eoin Beirne, Cory S. Flashner, Edmund P. Daley, Nick A. LaPalme
DOJ Issues Voluntary Self-Disclosure Policy for All United States Attorney’s Offices
February 24, 2023 | Blog | By Eoin Beirne, Cory S. Flashner, Edmund P. Daley, Nick A. LaPalme
The Rise of Whistleblower Tips (and Rewards) for Crypto Sleuths
February 17, 2023 | Blog | By Cory S. Flashner, Adam Sisitsky, Edmund P. Daley
Fifth Circuit Provides New Guidance on Evaluating Confidential Witnesses
February 16, 2023 | Blog | By Peter M. Saparoff, Aaron Fenton
Navigating Fiduciary Duties amidst the Rise of Anti-ESG Rulemaking
February 15, 2023 | Blog | By Doug Baumstein, Jacob Hupart, Will G. McKitterick, Ellen Shapiro
Garland Memo May Provide White Collar Defendants Increased Opportunity for Negotiation While Updated Corporate Enforcement Policy Highlights the Importance the Department of Justice Places on Self-Disclosure, Cooperation, and Remediation
February 2, 2023 | Blog | By Eoin Beirne, Edmund P. Daley, Nick A. LaPalme
Priorities, Priorities – FINRA Publishes Its Annual Report of Focus Areas for 2023
February 1, 2023 | Blog | By Michael Pastore
Recent First Circuit Opinion in SEC v. Lemelson Provides a Roadmap for Section 10(b) Cases Involving an Opinion Defense
January 20, 2023 | Blog | By Joel Rothman, Elizabeth M. Platonova
Coinbase Reaches $100 Million Settlement with NYS Department of Financial Services Over Anti-Money Laundering Compliance Failures
January 6, 2023 | Blog | By Cory S. Flashner, Edmund P. Daley, Christopher D'Aliso
Caremark Liability Following the SEC’s New ESG Reporting Requirements
December 16, 2022 | Blog | By Jacob Hupart, Doug Baumstein, Jonathan L. Kravetz, Ellen Shapiro, Will G. McKitterick
FINRA to Examine Broker-Dealer Crypto Communications
December 1, 2022 | Blog | By Cory S. Flashner, Edmund P. Daley, Christopher D'Aliso
SEC Adopts New Incentive-Based Compensation "Clawback" Rule
November 30, 2022 | Blog | By Adam Sisitsky, Patrick E. McDonough, Xandy Walsh
“We lost. Sorry everyone”: The Implications of a District Court Finding Digital Token, LBC, Is a Security
November 21, 2022 | Blog | By Ellen Shapiro, Will G. McKitterick, Sofia Nuño
RIAs Beware: The Pitfalls When Going Straight To The (Out)Source
November 3, 2022 | Blog | By Michael Pastore, Edmund P. Daley
It Gets BIgger: FINRA Joins the SEC In Bringing Reg BI Enforcement Actions
October 21, 2022 | Blog | By Pete Michaels, Alyssa C. Scruggs
Significant Unruh Act and ADA Website Accessibility Ruling from the California Court of Appeal
August 23, 2022 | Blog | By Todd Rosenbaum, Adam B. Korn, Macklin W. Thornton
Regulator Turf Battles & Twitter Sleuths - Takeaways from the insider trader tipping scheme against a former Coinbase Employee
July 22, 2022 | Blog | By Cory S. Flashner, Edmund P. Daley
What Public Comments on the SEC’s Proposed Climate-Related Rules Reveal—and the Impact They May Have on the Proposed Rules
July 20, 2022 | Blog | By Jacob Hupart, Megan Gates, William F. Weld, Doug Baumstein, Jennifer Rubin, Will G. McKitterick
This article provides a brief summary of the public comments submitted to the SEC regarding the Commission's proposed climate-related rules, and analyzes and summaries the key points the comments conveyed.
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SEC Proposes Regulations to Address “Greenwashing” By Investment Funds
June 13, 2022 | Blog | By Jacob Hupart, Megan Gates, Doug Baumstein, Pete Michaels, William F. Weld, Thomas R. Burton, III, Sahir Surmeli
In this article, Mintz attorneys explore the SEC's recently issued proposed regulations on "greenwashing" and how the rules would effect investment advisers and investment companies if implemented.
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