Sidley Updates

Securities Enforcement & Regulatory Report

Q4 2020

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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.

The articles in this issue provide useful guideposts and practical suggestions for navigating the current environment. Inside this issue:

Navigating SEC Whistleblower Rule 21F-17
CFTC Developments: Takeaways From a Busy Year-End 2020
Messaging Apps May Expose Firms to Regulatory Risks
Impact of Executive Order on Chinese Military Companies
AML is in Our future – CFTC Steps Up AML Enforcement
Staff Moves

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