Events for July 2023

This year is poised to bring new developments that will fuel securities litigation. More enforcement activities are likely to take shape as the Securities and Exchange Commission (SEC) persists with its aggressive regulatory agenda. With recalibrated penalties for specific violations, the agency shows no sign of easing its clamp on traditional and newer securities fraud issues. As increased compliance challenges loom on the horizon, industry participants must therefore be cognizant of the potential risks and act pre-emptively to avoid violations. Our panel of key thought leaders and practitioners will offer a discussion of the significant trends and issues in securities [...]

The Securities and Exchange Commission (SEC) has actively pursued significant enforcement actions for FY 2023 H1 period, zeroing in on various violations within the securities industry. Notably, the SEC has taken measures against unregistered cryptocurrency exchanges and securities offerings while continuing to ramp up its enforcement efforts in the ESG space.