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