Sidley Updates

Securities Enforcement & Regulatory Report

Q2 2020

Published quarterly, Sidley’s Securities Enforcement & Regulatory Report is designed to provide actionable information and insights on key securities enforcement and regulatory developments. This Report focuses on providing concise analyses of developing trends as well as overviews of notable enforcement actions and staffing changes at the SEC and other regulators.

This issue includes topical articles on COVID-19 and business in the “new normal,” including articles on remote supervision, video testimony in enforcement matters, and the SEC’s post-pandemic priorities. Other articles cover senior investor protection and disgorgement after Liu v. SEC. This issue also features a Q&A with Sidley Partner Sara George, a former UK FSA prosecutor, who provides valuable insights into the current regulatory climate in the UK.

Inside this issue:

Post-pandemic Priorities for SEC Broker-Dealer Enforcement
UK Securities Regulation: An Interview With Sidley Partner Sara George
Testimony in the Time of COVID-19
Reasonably Supervising a Remote Workforce
Disgorgement After Liu v. SEC
Current Risks for Senior Investors
Staff Moves

View the Report

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