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Carmen Lawrence
Insights 23 results
Client Alert
November 26, 2024
SEC Enforcement Fiscal Year 2024 Results – A Look Behind the Numbers
Client Alert
May 23, 2024
Request for Comments on FinCEN and SEC rule on CIP
Article · Source: Corporate Compliance Insights
March 4, 2024
SEC Broadens Definition of ‘Dealer’
Client Alert
February 9, 2024
SEC Adopts Rules Requiring Certain Trading Entities, Including Certain Investment Advisers and Private Funds, to Register as Broker-Dealers
Client Alert
February 8, 2024
SEC Approves FINRA Supervisory Control Rules Expanding Remote Work Options for Broker-Dealers
Feature
December 13, 2023
General Counsel’s Decision Tree for Internal Investigations for the Financial Services Industry
Feature
September 21, 2023
General Counsel’s Decision Tree for Internal Investigations
Client Alert
May 30, 2023
Bye-Bye Big Boys? The SEC Turns its Enforcement Focus to Private Deals
Article · Source: The Business Lawyer; Vol. 75, Fall 2020
September 3, 2020
The Evolution and 2020 Status of Cooperation in SEC Enforcement Investigations
Client Alert
September 24, 2018
Echoes of the Brand Memo
Client Alert
July 31, 2018
Cui Bono? The (Latest) Personal Benefit Test in Insider Trading Cases
Client Alert
September 27, 2017
New CFTC Director of Enforcement Incentivizes Self-Reporting, Counts on “Buy-in” From Market Participants