Haimavathi Marlier

Nov 29, 2024 | jdsupra.com | Michael Birnbaum |Eduardo Figueroa |Haimavathi Marlier

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: Accounting fraud charges for allegedly concealing costs; Penalties for alleged false claims about AI-driven trading; Fines for allegedly misleading ESG fund marketing practices; Allegations of operating as an unregistered crypto dealer; and Settlements over alleged bribery schemes in the aerospace industry.

Nov 15, 2024 | jdsupra.com | Michael Birnbaum |Haimavathi Marlier |Craig Martin

Given the recent news about President-Elect Trump’s cabinet appointments , it is a safe bet that the SEC Division of Enforcement’s priorities will change under the new administration. Under President Biden, SEC Chair Gary Gensler pursued a broad and aggressive enforcement agenda, with critics contending that the SEC pursued regulation via enforcement in areas like crypto currencies and digital assets, ESG, cybersecurity, and AI.

Nov 4, 2024 | jdsupra.com | Edward A. Imperatore |Haimavathi Marlier |Laura Miller

As election season peaks, derivatives trading platforms are listing “election contracts,” which enable purchasers to bet fiat and crypto on the outcome of U.S. presidential and other elections. Election contracts are a type of political “event contract,” or a binary options contract, where the payoff is based on a binary outcome of a contingent event. The CFTC regulates such contracts as a type of derivative.

Oct 25, 2024 | jdsupra.com | Michael Birnbaum |Mitchell D Feldman |Haimavathi Marlier

Each month, we publish a roundup of the most important SEC enforcement developments for busy in‑house lawyers and compliance professionals.

Sep 25, 2024 | jdsupra.com | Michael Birnbaum |Ernesto Guzmán |Haimavathi Marlier

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals.