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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

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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

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The Rise of Whistleblower Tips (and Rewards) for Crypto Sleuths

February 17, 2023 | Blog | By Cory S. Flashner, Adam Sisitsky, Edmund P. Daley

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Fifth Circuit Provides New Guidance on Evaluating Confidential Witnesses

February 16, 2023 | Blog | By Peter M. Saparoff, Aaron Fenton

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Navigating Fiduciary Duties amidst the Rise of Anti-ESG Rulemaking

February 15, 2023 | Blog | By Doug Baumstein, Jacob Hupart, Will G. McKitterick, Ellen Shapiro

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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

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FINRA to Examine Broker-Dealer Crypto Communications

December 1, 2022 | Blog | By Cory S. Flashner, Edmund P. Daley, Christopher D'Aliso

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SEC Adopts New Incentive-Based Compensation "Clawback" Rule

November 30, 2022 | Blog | By Adam Sisitsky, Patrick E. McDonough, Xandy Walsh

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RIAs Beware: The Pitfalls When Going Straight To The (Out)Source

November 3, 2022 | Blog | By Michael Pastore, Edmund P. Daley

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It Gets BIgger: FINRA Joins the SEC In Bringing Reg BI Enforcement Actions

October 21, 2022 | Blog | By Pete Michaels, Alyssa C. Scruggs

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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

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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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