April 01, 2014

Drinker Biddle Announces the Launch of SECurities Law Perspectives

Drinker Biddle is proud to announce the launch of SECurities Law Perspectives, a blog created to provide timely and insightful analyses on noteworthy trends in SEC enforcement and regulatory activity.  The blog will be written by Drinker Biddle’s global team of top white collar and securities lawyers and led by partners Mary Hansen and William Carr.  Hansen is a former Assistant Director in the Division of Enforcement of the U.S. Securities & Exchange Commission and Carr focuses his practice on regulatory investigations and enforcement actions, including by the SEC, the CFTC, and the PCAOB.

With the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 came a more robust regulatory regime and a reenergized and empowered SEC.  This increased focus on financial markets has had a great effect on the oversight and supervision of financial institutions, public and private corporations, and directors, officers, and employees of those entities.  As a result, companies are experiencing a surge of regulatory investigations and enforcement proceedings, criminal sanctions, and private civil actions.  Drinker Biddle’s White Collar and Securities teams have substantial experience handling regulatory, criminal, and civil actions, and actively monitor enforcement activity in these areas.

“Seeking to hold entities responsible for all types of alleged misconduct by using significant financial fines and penalties has become commonplace and is likely to be a long-term trend.  It also is likely that regulatory agencies, including the SEC, will continue or step up their efforts to hold individuals accountable through civil and criminal penalties,” said Hansen. “With the growing morass of regulations, combined with an aggressive enforcement program, it has never been more important for companies and individuals to keep abreast of developments at the SEC and other regulatory agencies.”

Recent news topics that the blog will analyze include:

  • Arbitration Agreements and Whistleblower Protections
  • “Neither Admit nor Deny” Settlements at the SEC
  • Disclosure of Exculpatory Information in the Possession of the Civil Agency
  • Whether SEC v. Jacobs Signals a Limit to the Duty of Trust or Confidence Required to Prove Insider Trading Based on Misappropriation Theory

SECurities Law Perspectives will report on important cases, developments, and trends that are most likely to have an impact on business and individual liability. The blog address is: http://securitieslawperspectives.com/.


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