Full Disclosure
Resources Curated for In-House Counsel and Leaders of Public and Pre-IPO Companies
Full Disclosure keeps you up-to-date on the latest enforcement actions, securities law issues, legal and policy developments, as well as other issues that matter most to today’s public and pre-IPO companies, their in-house counsel, directors, and officers with insights shared by Morrison Foerster’s Securities Litigation, Securities Enforcement, and Investigations + White Collar Defense lawyers.
Hot Topics
- Client Alert
Securities Enforcement: Top 5 SEC Enforcement Developments for September 2024
The Top 5 newsletter is a monthly summary of the most important and interesting SEC enforcement developments from the past month, with links to primary resources.
- Client Alert
Investigations + White Collar Defense : Top 10 International Anti-Corruption Developments for September 2024
The Top 10 newsletter is a monthly summary of the most important international anti-corruption and FCPA developments from the past month, with links to primary resources.
- Client Alert
MoFo’s State + Local Government Enforcement Newsletter
Morrison Foerster’s State and Local Government Task Force is pleased to provide our bimonthly newsletter summarizing some of the most important and interesting developments from state attorneys general across the country and local government agencies and legislative bodies, with links to primary resources.
- Client Alert
The End of SEC Administrative Proceedings? The Supreme Court’s Jarkesy Decision Prohibits the Agency’s Use of ALJs in Enforcement Actions Seeking Civil Penalties
On June 27, 2024, the Supreme Court decided in SEC v. Jarkesy that where the Securities and Exchange Commission (“SEC”) brings enforcement actions for civil penalties, it must do so in the federal courts, as opposed to before administrative law judges, or “ALJs,” who preside over the agency’s in-house tribunals.
- Client Alert
Takeaways for In-House Counsel from DOJ’s First Insider Trading Trial Involving a Rule 10b5-1 Plan
On June 21, 2024, a jury in California federal court found a former chief executive officer of a publicly traded healthcare company guilty of insider trading in United States v. Peizer, the first criminal insider-trading case based solely on trades placed pursuant to a Rule 10b5-1 trading plan.
- Client Alert
DOJ Updates Its Guidance on Corporate Compliance Programs, with an Emphasis on AI and Whistleblowers
On September 23, 2024, the Criminal Division of the U.S. Department of Justice revised its Evaluation of Corporate Compliance Programs or ECCP.
- Podcast
Above Board: SEC Enforcement - Control Violations and Compliance Best Practices
In this episode of the Above Board podcast, Morrison Foerster partner and host Scott Lesmes speaks with Morrison Foerster partners Haima Marlier and Michael Birnbaum, both former senior trial counsel at the SEC, and Craig Martin, a former enforcement attorney at the SEC, about recent SEC enforcement activities concerning controls violations.
- Client Alert
Supreme Court to Address Whether Risk Disclosures Can Be False or Misleading
On June 10, 2024, the United States Supreme Court agreed to hear argument in Facebook, Inc. v. Amalgamated Bank, No. 23-980, to address whether risk disclosures can be false or misleading if they do not describe a risk that materialized in the past, even if that past event presents no known risk of future or ongoing business harm.
- podcast
When Your Life Sciences Are on the Line: Cybersecurity
Morrison Foerster Investigations + White Collar Defense partner Nate Mendell, former Acting U.S. Attorney for the District of Massachusetts, hosted the second episode of When Your Life Sciences Are on the Line, where leading practitioners and thought leaders in the space share the insights and advice you need to manage business and legal risk in the life sciences sector.
