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Articles by Eric Auslander
SEC Chairman Touts Greater Transparency And Informed Discourse Through Enhancements To Wells Process And Other Enforcement Practices
Dechert are most popular: within Wealth Management, Tax, Food, Drugs, Healthcare and Life Sciences topic(s) in United States with readers working within the Banking & Credit industries Chairman Atkins values a Wells process that is "fair and transparent." Early engagement by Enforcement staff to discuss the direction of an investigation is encouraged, as well as the submission of "white papers" to help assure that the staff is not operating under a mistaken view of the facts.
Under New Leadership, SEC Articulates Changes To Enforcement Program
The priorities expressed by the Enforcement Staff during the recent Practicing Law Institute's SEC Speaks Conference echoed themes Chairman Paul Atkins has expressed during his decades-long career, including as a former SEC Commissioner.
Expectations For SEC Exams As Private Credit Market Grows
By Anthony Kelly, William Bielefeld and Eric Auslander ( March 12, 2025, 6:33 PM EDT) -- The private credit market has experienced tremendous growth over a relatively short period of time. When this type of rapid growth is combined with near-constant news that private credit managers are looking to expand into the retail investor market, policymakers, regulators and industry groups take notice.... Law360 is on it, so you are, too.
Expectations For SEC Exams As Private Credit Market Grows
By Anthony Kelly, William Bielefeld and Eric Auslander ( March 12, 2025, 6:33 PM EDT) -- The private credit market has experienced tremendous growth over a relatively short period of time. When this type of rapid growth is combined with near-constant news that private credit managers are looking to expand into the retail investor market, policymakers, regulators and industry groups take notice....
Supreme Court Curtails SEC In-House Judges on Litigated Civil Penalties | JD Supra
July 3, 2024 Justin Aimonetti, Eric Auslander, David Bartels, Catherine Botticelli, Steven Engel, Anthony Kelly, Brian Kulp, Neel Maitra, Michael McGinley Dechert LLP + Follow x Following x Following - Unfollow Contact To embed, copy and paste the code into your website or blog: Key Takeaways In SEC v. Jarkesy, the Supreme Court held that the Seventh Amendment entitles a defendant to a jury trial when the SEC seeks civil penalties for securities fraud.
SEC Releases 2022 Enforcement Division Results | JD Supra
The Securities and Exchange Commission (“SEC”) released an annual summary, on November 15, 2022, of actions brought by the Division of Enforcement (“Division”) over fiscal year 2022 (“Enforcement Summary”), providing an overview of its results and priorities over fiscal year 2022, Gurbir Grewal’s first full year as the Division’s Director.1 While these summaries, by their nature, always include a focus on the amounts obtained in penalties and disgorgement, and, in recent years the continuing...
Showdown at the Fifth Circuit Corral—Panel Rules SEC Home-Court Proceedings Violate Multiple Constitutional Provisions | JD Supra
The United States Court of Appeals for the Fifth Circuit issued a major decision on May 18, 2022 holding Securities and Exchange Commission (SEC or Commission) administrative adjudications unconstitutional on multiple grounds. In Jarkesy v.
SEC Chair Gensler Signals Increased SEC Scrutiny of Private Funds | JD Supra
Securities and Exchange Commission Chair Gary Gensler addressed the Institutional Limited Partners Association (ILPA) Summit on November 10, 2021.
SEC Enforcement Division Releases 2020 Annual Report: COVID-19 Impacts Enforcement as Whistleblower Program Boosts Enforcement | JD Supra
The Enforcement Division of the Securities and Exchange Commission (Division) released its Annual Report1on November 2, 2020, providing information concerning its activities over the past fiscal year and outlining key priorities going forward. Following co-director Steven Peikin’s departure in August 2020, Stephanie Avakian remains at the helm of the Division, and Marc Berger has been named Deputy Director.
OCIE Releases 2020 Examination Priorities | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
CFTC’s Enforcement Division Releases 2019 Annual Report | JD Supra
Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
CFTC’s Enforcement Division Releases 2019 Annual Report | Lexology
The CFTC’s Division of Enforcement (Division) released its Annual Report on November 25, 2019, summarizing the Division’s activities over the past year.1 In FY 2019, the CFTC filed 69 enforcement actions, down from 83 in FY 2018 and in line with the five-year average of 67.5 actions. While the number of enforcement actions declined year-over-year, the Division maintained over 140 pending cases in litigation.
SEC Enforcement Division Releases 2018 Annual Report | JD Supra
JD Supra Privacy Policy Updated: May 25, 2018: JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations.
Treasury Department Releases Interim Rules and a Pilot Program Implementing Aspects of New Foreign Investment Reviews by CFIUS | JD Supra
JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra, LLC ("JD Supra" or "we," "us," or "our") collects, uses and shares personal data collected from visitors to our website (located at www.jdsupra.com) (our "Website") who view only publicly-available content as well as subscribers to our services (such as our email digests or author tools)(our "Services").
Global Private Equity Newsletter - Fall 2018: Congress Enacts CFIUS Reform in Effort to Strengthen Foreign Investment Rules | JD Supra
JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra, LLC ("JD Supra" or "we," "us," or "our") collects, uses and shares personal data collected from visitors to our website (located at www.jdsupra.com) (our "Website") who view only publicly-available content as well as subscribers to our services (such as our email digests or author tools)(our "Services").
Congress Enacts CFIUS Reform in Effort to Strengthen Foreign Investment Rules | Lexology
President Trump signed into law the Foreign Investment Risk Review Modernization Act of 2018 (FIRRMA) on August 13, 2018, which was included as part of the annual National Defense Authorization Act (NDAA). FIRRMA significantly reforms the Committee on Foreign Investment in the United States (CFIUS or the Committee), and makes related changes to the country’s export control regime.
Second Circuit Limits FCPA’s Extraterritorial Reach Over Non-U.S. Persons in Conspiracy and Aiding and Abetting Cases | JD Supra
JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra, LLC ("JD Supra" or "we," "us," or "our") collects, uses and shares personal data collected from visitors to our website (located at www.jdsupra.com) (our "Website") who view only publicly-available content as well as subscribers to our services (such as our email digests or author tools)(our "Services").
Congress Finalizes CFIUS Reform as Final Passage Appears Imminent | JD Supra
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House of Representatives Passes CFIUS Reform as the Trump Administration Reiterates its Support | JD Supra
JD Supra is a legal publishing service that connects experts and their content with broader audiences of professionals, journalists and associations. This Privacy Policy describes how JD Supra, LLC ("JD Supra" or "we," "us," or "our") collects, uses and shares personal data collected from visitors to our website (located at www.jdsupra.com) (our "Website") who view only publicly-available content as well as subscribers to our services (such as our email digests or author tools)(our "Services").
Senate Passes Substantial Changes to CFIUS and Votes to Re-Impose Sanctions on ZTE | JD Supra
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The Coming Storm? CFIUS Reform and Considerations for Private Equity | JD Supra
CFIUS is an interagency committee principally comprising nine members, chaired by the Secretary of the Treasury, tasked with reviewing transactions that could result in control of U.S. businesses by non-U.S. persons to determine the effect of such transactions on U.S. national security.
US Department of Justice Announces New Corporate Enforcement Penalty Policy | JD Supra
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