Demystifying the Current Landscape of Broker-Dealer Regulation: Hot Buttons Explored

2021-10-20T23:41:32-04:00

Broker-dealer regulations remain to be evolving and challenging. Scrutiny of anti-money laundering (AML) programs continues to be a top priority, as the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) bring significant AML-related enforcement actions against member firms. Other challenges that confront legal and compliance practitioners include the intensified standard of conduct rules governing investment recommendations to retail clients and the emerging forms of trading platforms.

What’s New in Gig-Worker Classifications: Exploring Trends and COVID-19 Implications

2021-05-19T23:11:32-04:00

Securities class action litigation have continuously skyrocketed over the past years. This trend is expected to grow in fiscal year 2020 as companies constantly engage in global expansions making securities markets more seemingly interconnected. With this, companies are encouraged to prepare for significant changes as well as potential risks and pitfalls. Being updated with the trends and recent court decisions to mitigate the possibility of setbacks is essentially recommended.

Trends, Developments, and What Lies Ahead the Securities Class Action Landscape in 2020

2021-05-19T11:52:01-04:00

Securities class action litigation have continuously skyrocketed over the past years. This trend is expected to grow in fiscal year 2020 as companies constantly engage in global expansions making securities markets more seemingly interconnected. With this, companies are encouraged to prepare for significant changes as well as potential risks and pitfalls. Being updated with the trends and recent court decisions to mitigate the possibility of setbacks is essentially recommended.

SEC’s Heightened Enforcement on Cryptocurrency: What You Should Know and Do to Avoid Legal Risks

2021-07-26T04:18:09-04:00

The U.S. Securities Exchange Commission (SEC) continues its scrutiny on cryptocurrencies. In its January 7 announcement, SEC’s Office of Enforcement Inspections and Examinations (OCIE) added fintech, including digital assets, to its annual priority list in the coming fiscal year. In line with this, the division will continue to prioritize the analysis of certain activities and products which are believed to pose risks to investors as well as the reputation of the U.S. capital markets. Examinations of these focus areas are designed to support the SEC's mission to protect investors, promote capital formation, and keep markets fair and effective.

Securities Class Action Litigation in the 2020 Landscape: What You Should Know and Do

2021-05-13T05:31:23-04:00

While securities class action filings maintained a historic three-year high through the end of 2019, largely driven by standard (Rule 10b-5, Section 11, and/or Section 12) cases, a decline in filings was observed in Q1 2020. Recent decisional law and critical trends in securities class actions, and the emergence of new “event-driven” filings, foreshadow an active year of key issues being fleshed out in courts around the country. Paramount among these issues are questions about whether certain types of cases can be filed in state courts and the role that Delaware corporations can play with forum selection clauses in trying to prevent that. Plaintiffs will push to assert scheme liability causes of action under the Securities Exchange Act of 1934 in an effort to broaden the universe of defendants they can hold accountable.

Demystifying the Current Landscape of Securities Litigation: Practical Tips and Strategies You Must Know

2021-04-20T23:29:50-04:00

The securities litigation landscape has been shifting unceasingly over the years. With the increasing number of securities class action filings as well as several upcoming court rulings, the regulatory paradigm remains unpredictable. Thus, practitioners and businesses should keep themselves abreast of any trend, development, and critical issue in this field of law. Counsel to businesses must also ensure efficient litigation techniques to win in this type of lawsuit.

SEC’s Heightened Enforcement: Exploring Practical Compliance Tips and Strategies

2021-06-15T21:45:51-04:00

The securities law landscape continues to evolve as new regulatory developments emerge. Recently, under the direction of its new Chair, the Securities and Exchange Commission’s (SEC) has been messaging the priorities of its enforcement program, including renewed focus across the agency related to climate change disclosures, cybersecurity, and financial innovation.

COVID-19 Implications to Securities Litigation and Regulation: What You Must Know and Do

2021-08-19T21:23:07-04:00

The number of securities lawsuits have proliferated across various industries since the onset of the COVID-19 outbreak. These filings arose from alleged concealed COVID-19 threats, misleading pandemic-related treatments and services, and inadequate disclosure of the pandemic's impact on financial operations and prospects.

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