Tag: SEC

This Week In Securities Litigation (Week ending Dec. 8, 2017)

The DOJ announced the formalization of a new FCPA cooperation policy built on the success of its Pilot Program. That program resulted in a significant increase in firm’s self-reporting and cooperating, the goal of the new policy. The new initiative

Posted in SECActions Tagged with: , , , ,

Examples of the SEC’s New Focus on Retail Customers and Cyber

The Commission’s Enforcement Division under Chairman Clayton is focusing on retail investors and cyber. Two actions brought over the last two business days serve to highlight this focus, including the first brought by the new Cyber Unit. SEC v. Plexcorps,

Posted in SECActions Tagged with: , , ,