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Carmen Lawrence
Insights 24 results
Client Alert
May 30, 2023
Bye-Bye Big Boys? The SEC Turns its Enforcement Focus to Private Deals
Client Alert
June 24, 2021
Repairing A “Crack” in Insider Trading Regulation: SEC Rule 10b5-1 Trading Plans Face Increased Scrutiny
Client Alert
April 8, 2021
SEC and FINRA Emphasize Cybersecurity, AML, and Reg BI as Key Areas of Focus for Broker-Dealer Examinations in 2021
Client Alert
April 1, 2021
SEC Division of Examinations – 2021 Priorities
Client Alert
March 19, 2021
SEC Kicks Off 2021 Agenda With Intense Focus on ESG Disclosures
Client Alert
March 16, 2021
SEC Brings Action Against Morningstar Alleging Undisclosed CMBS Rating Adjustments
Article
February 12, 2021
King & Spalding Discusses SEC’s Potential Focus During Biden Administration
Client Alert
February 3, 2021
Surprise Year-End SEC Disgorgement Legislation Settles Some Issues but Raises Others
Client Alert
February 1, 2021
Widening the Aperture Beyond Retail-Focused Advisers
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