Cooperation
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CFTC issues new enforcement cooperation policy
The advisory gives market participants even more opportunity for full enforcement declinations.
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First-ever DOJ-wide corporate enforcement policy announced
The new policy supersedes the existing patchwork of voluntary self-disclosure policies, replacing them with a framework applicable across the DOJ.
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SDNY’s new corporate enforcement policy charts path to declination
SDNY said after a company self-reports, it will issue a conditional letter stating intent to decline prosecution, if certain criteria are met.
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Podcast: Sandra Moser and John Pease walk us through DOJ’s Corporate Enforcement Policy
Moser and Pease talk about a corporate enforcement and voluntary self-disclosure policy that has seen a variety of iterations through several administrations.
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DOJ relaxed its approach to corporate criminal enforcement (again)
Citing a need for transparency in the DOJ’s corporate criminal enforcement efforts, Deputy AG Argentieri outlined some tweaks to the agency’s Corporate Enforcement Policy.
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CFTC orders BNY Mellon to pay $5m for swap reporting, supervision lapses
The CFTC said the firm failed to properly supervise its swap dealer business with respect to swap data reporting.
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SEC’s Grewal on cyber resilience and his division’s approach
Gurbir Grewal set out the Division of Enforcement’s five guiding principles.
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SEC charges Stanley Black & Decker over executive perks disclosure
SEC settles charges against Stanley Black & Decker for failing to disclose perks it provided certain executives, but imposes no money penalty.