Regulatory Investigations Regulatory Investigations

Corruption risk and the COVID-19 pandemic: Ensuring compliance in the era of the “new normal”

The COVID-19 pandemic increases risk for businesses operating in a new and uncertain economic context. While regulators have eased certain...

Ontario Appeal Court addresses the definition of a “security”: if it looks, walks and quacks like a duck, it MAY be a duck

In a decision released March 16, 2020 that may have implications for the regulatory treatment of certain financial instruments in...

FCPA developments: Glencore, Ericsson and increasing regulatory enforcement

Regulators in both the U.S. and the UK have recently undertaken significant enforcement action against companies for alleged violations of foreign...

Settlement establishes compensation fund for PlexCoin ICO investors

A U.S. District Court has approved a settlement between the Securities and Exchange Commission (SEC) and the directing minds behind the PlexCoin...

Document management before & after a data breach

The number of documents involved in a data breach investigation or litigation can be immense; proper preparation and response is critical.