Securities Enforcement Under the Biden Administration
March 18, 2021
March 18, 2021
The SEC and DOJ are expected to take a more aggressive approach to enforcement of the federal securities laws under the Biden Administration. As a result, we anticipate an uptick in investigations and charges against companies, private funds and individuals, across a range of areas, including:
insider trading
issuer financial reporting and disclosure
investment adviser misconduct
ESG
FCPA enforcement
market manipulation
Regulation Best Interest
Foley Hoag attorneys discuss the likely direction of enforcement in these areas by both agencies, including cooperation between the SEC and DOJ in pursuing investigations.
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