Corporate Compliance and Enforcement

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SEC Guidance on Exhibit Redactions For Immaterial, Competitively Harmful Information

By Jason K. Zachary on April 5, 2019

Posted in Client Alert, Compliance, Corporate Governance, SEC, Securities and Exchange Commission

On April 1, 2019, the SEC provided additional guidance relating to its new rules that permit companies to file redacted material contracts without applying for confidential treatment of the redacted information provided the redacted information (i) is not material and (ii) would be competitively harmful if publicly disclosed. The new rules became effective upon their…

Details on the CFTC’s New Self-Reporting Policy

By Jeffry M. Henderson & William Mack on September 29, 2017

Posted in CFTC, Client Alert, Corporate Governance

On Sept. 25, 2017, the Program on Corporate Compliance and Enforcement and the Institute for Corporate Governance and Finance at New York University School of Law hosted a policy speech by James McDonald, Director of the Division of Enforcement, United States Commodity Futures Trading Commission (CFTC). Mr. McDonald presented the CFTC’s new self-reporting and cooperation

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