In brief
Please join us for a new weekly video series, hosted by Baker McKenzie’s North America Government Enforcement partners Tom Firestone and Jerome Tomas.
This weekly briefing is available on demand and will cover hot topics and current enforcement actions related to white collar crime and criminal investigations in the US and abroad to arm you with the information you need to start your business week.
As one of the largest global law firms, we will call upon our exceptionally deep and broad bench of white collar experts throughout the world and particularly in the commercial hubs of Europe, Asia, Africa and Latin America to join our weekly discussion series.
These briefings will cover:
- High-profile DOJ case updates and implications
- SEC enforcement developments
- CFTC enforcement developments
- Other white collar defense industry developments
25 May 2021
This week’s discussion will cover the following:
- Insight on Gary Gensler’s SEC Enforcement Agenda: SEC Chair’s Remarks at 2021 FINRA Annual Conference
- Discussion of Treasury’s Plan to Increase IRS Enforcement and Narrow the Tax Gap
- Update on Nord Stream 2 Sanctions
18 May 2021
This week’s discussion will cover the following:
- Russian Response to US Sanctions and Designation of US as an “Unfriendly” Country
- Trial of Mayor of Fall River, Massachusetts for Extorting Marijuana Businesses
- The Challenges of Fitting Modern Practices into Old Laws: SEC Commissioner Hester Peirce’s Statement Regarding an Index Fund SEC Settlement
- SEC’s Continued Slow Embrace of Crypto Assets: Division of Investment Management’s Statement on ETF Holdings of Crypto Assets and Potential Enforcement Implications to Assets and Potential Enforcement Implications
10 May 2021
This week’s discussion will cover the following:
- Crypto developments: SEC Chair Gensler’s Testimony, Dogecoin and Saturday Night Live
- The “Swiss George Floyd Case” (for more information about this case, please see this documentary featuring Simon Ntah here
3 May 2021
This week’s discussion will cover the following:
- First Voluntary Self-Disclosure of Sanctions and Export Violations Leads to Settlement between Software Company and DOJ
- The Sudden Resignation of SEC Enforcement Director Alex Oh: What is Next For SEC Enforcement?
26 April 2021
This week’s discussion will cover the following:
- New SEC Enforcement Director Alex Oh: What It May Mean For SEC Enforcement
- DOJ Pattern and Practice Investigation of Minneapolis Police Department
19 April 2021
This week’s discussion will cover the following:
- First guilty plea in Capitol attack cases: What it means for future prosecutions
- New Russia sanctions: What they do and don’t do, and what could be next
- Comments by Acting Director of the SEC’s Division of Corporation Finance, “SPACs, IPOs and Liability Risk under the Securities Laws”: What it means for SEC enforcement
12 April 2021
This week’s discussion will cover the following:
- Criminal Antitrust Prosecutions of No Poaching and Wage Fixing Agreements: Perspective of a Leading Antitrust Lawyer.
- Enforcement perspectives arising out of the SEC’s April 9, 2021 “Risk Alert” relating to ESG products and services offered by investment advisers, registered investment companies and private funds.
- DOJ Priorities under the Biden Administration: What the Budget Tells Us.
30 March 2021
This week’s discussion will cover the following:
- SEC Enforcement Sweep Looks Into SPAC IPOs
- New Legal Issues in the Capitol Riot Cases
15 March 2021
This week’s discussion will cover the following:
- DOJ/SEC FCPA priorities
- Oath Keepers conspiracy case
- New Russian law to protect officials against corruption charges
- Does SEC Commissioner Crenshaw’s speech about increased corporate penalties foreshadow a possible retraction of the SEC’s 2006 Statement Concerning Financial Penalties and what we can expect from corporate securities enforcement over the next 4 years?
8 March 2021
This week’s discussion will cover the following:
- This week, Jerome is joined by his partners Amy Greer and Jen Klass and they will dig deep into the enforcement issues presented by the SEC’s “Enforcement Task Force Focused on Climate and ESG Issues”
1 March 2021
This week’s discussion will cover the following:
- The SEC’s Plan to Dig Into Public Company Climate Change Disclosures: A White Collar Enforcement Perspective
- Key Takeaways from Merrick Garland Confirmation Hearing
- Update on Capitol Riot Cases
- Secretary Blinken Statement on Anticorruption Champions
22 February 2021
This week’s discussion will cover the following:
- Potential prosecution of former President Trump for incitement of the Capitol attack
- The SEC’s latest message following the “The Market Events”: trading suspension in In the Matter of SpectraScience, Inc.
- New Transparency International Corruption Report
- The SEC’s ICO enforcement initiative lives on: SEC v. Coinseed, Inc., et al. (S.D.N.Y. 17 February 2021)
15 February 2021
This week’s discussion will cover the following:
- Update on Capitol riot cases
- The legal definition of “incitement of insurrection”
- Discussion of the reported DOJ and SEC investigations into the retail traders in last month’s market events
- A reminder on the scope of the US insider trading laws, courtesy of SEC v. Mark Ahn (D. Mass) (also a parallel criminal case was filed)
8 February 2021
This week’s discussion will cover the following:
- An update on the Capitol Riots
- Consideration of new sanctions on Russia
- An update on stock market events, including the FINRA notice on broker-dealer “game-style” trading apps
1 February 2021
This week’s discussion will cover the following:
- Analysis of the Reddit/WallStreetBets-driven stock surges, with a special appearance by Jerome’s 15 year old son, Sam, who has been following the events on Reddit and Discord
- Discussion of the Hoskins appeal and the future of the FCPA’s “Agency” theory
- Update on the Capitol raid prosecutions
18 January 2021
This week’s discussion will cover the following:
- New SEC Enforcement Statute of Limitations and Disgorgement Provisions Contained in the NDAA
- New AML Whistleblower Bounty Provision in the NDAA
- Criminal charges against Capitol rioters
- Julian Assange extradition case
4 January 2021
This week’s discussion will cover the following:
- What criminal statutes might apply to the attack on the Capitol?
- 18 USC 2383 – Rebellion or Insurrection
- 18 USC 2384 – Seditious Conspiracy
- 18 USC 1752 – Restricted Building or Grounds
- What, if any, criminal statutes might apply to President Trump’s call last week with Georgia Secretary of State?
- The 25th Amendment — A brief history of the amendment, what the amendment provides for and how it might apply in light of these events.
