Under the current administration, the United States Securities and Exchange Commission (SEC) has advanced significant organizational and procedural changes in its Division of Enforcement, which will impact how investigations are supervised and how defense counsel approach the Wells process.
Notable changes include the replacement of Regional Directors with Deputy Directors
Continue Reading SEC enforcement shake-up and Wells process reforms: Top points
The Securities and Exchange Commission (SEC) has launched a Cross-Border Task Force to investigate fraud involving foreign-based companies, with a focus on market manipulation schemes like “ramp-and-dumps” and misconduct by gatekeepers – including auditors and underwriters – whose role in enabling access to US capital markets has been a focus
Continue Reading SEC launches Cross-Border Task Force to target fraud involving foreign-based companies
