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Publications
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12.29.2021FinCEN Solicits Comments on Striking Expansion of Anti-Money Laundering Obligations to Real Estate SectorUpdatesThe Financial Crimes Enforcement Network issued an Advance Notice of Proposed Rulemaking (ANPRM) on December 6, 2021, soliciting comments on the potential extension of the Bank Secrecy Act.
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12.14.2021
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11.04.2021The Anti-Money Laundering Act of 2020: The Remarkable Expansion of the U.S. Government’s Subpoena Power Over Foreign Financial InstitutionsUpdatesOn New Year’s Day 2021, Congress passed the Anti-Money Laundering Act of 2020 (AMLA).
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08.10.2021Discussion with Eric F. Grossman, Chief Legal Officer, Morgan StanleyPodcastsPerkins Coie LLP White Collar & Investigations partners Lee S. Richards III and David B. Massey are joined by Eric F. Grossman, the Chief Legal Officer of Morgan Stanley, for an in-depth discussion of hot topics in the financial services enforcement area, including big banks’ readiness for another financial crisis; Environmental, Social, and Governance (ESG) investing; the “gamification” of trading; SPACs; corporate criminal investigations and resolutions; and the influence of politics on law enforcement. Mr. Grossman also reflects on the importance of diversity and inclusion in the legal profession.
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04.16.2021Business Texts on Personal Phones: The Growing Compliance and Enforcement Risk and What to Do About It (Part II of II)ArticlesEmployees’ use of unapproved messaging platforms for business-related communications—and their employers’ failure to monitor and preserve such communications, even if inadvertent—may also cause employers to provide incomplete responses to subpoenas or requests for information issued by prosecutors, enforcement staff, or private civil parties.
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04.08.2021Business Texts on Personal Phones: The Growing Compliance and Enforcement Risk and What to Do About It (Part I of II)ArticlesWith increasing frequency, securities and commodities regulators are focusing on employees’ use of personal mobile devices for business-related communications via applications that are not approved by employers or captured by employers’ archival systems.
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08.25.2020DOJ Issues First FCPA Advisory Opinion in Six Years: A Note of Caution and Practical TakeawaysArticlesIn the NYU Compliance & Enforcement Blog, David B. Massey discusses the DOJ’s first FCPA Opinion Release since 2014.
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06.15.2020Financial Reporting in Times of Economic Crisis: Minimizing Risk in Accounting Judgments and EstimatesArticlesIn the NYU Compliance & Enforcement Blog, the attorneys discuss the difficulties and risks that public companies face when making accounting judgments and estimates in times of economic uncertainty.
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04.03.2020Accounting Fraud 2.0: Increased Enforcement Activity Based on Non-GAAP MetricsArticles
In the NYU Compliance & Enforcement Blog, the attorneys discuss enforcement efforts by the DOJ and the U.S. Securities and Exchange Commission (SEC) concerning non-GAAP financial metrics.
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05.07.2019U.S. v. Connolly: “Outsourcing” a Government Investigation—And How to Avoid ItArticlesIn the NYU Compliance & Enforcement Blog, the attorneys discuss the U.S. v. Connolly decision, in which the U.S. District Court for the Southern District of New York found that the government “outsourced” a criminal investigation to a global bank.
Presentations
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03.29.2023Regulatory Enforcement and Litigation: The Contagion Effect of FTX and Silicon Valley BankWebinarsThe webinar examined recent events, beginning with the Terraform Labs cryptocurrency collapse and continuing to the downfall of various entities, including FTX Trading Ltd. and Silicon Valley Bank. Our panel of experts addressed key legal and regulatory issues relating to these events.
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10.13.2022Insider Trading Law 2022Speaking EngagementsPractising Law Institute (PLI) / VirtualPanel discussion that explored and examined insider trading, recent enforcement actions, the intersection of insider trading and the blockchain world, and the implications of the first insider trading statute passed by the House of Representatives.
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10.21.2021Insider Trading Law 2021Speaking EngagementsPractising Law Institute (PLI) / VirtualPanel discussion focusing on how to advise clients with insider trading issues.
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07.27.2021Internal Investigations and Corporate Cooperation: Outsourcing & Privilege WaiverSpeaking Engagements
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07.13.2021Business Communications on Personal Phones: The Growing Compliance and Litigation Risk and What to Do About ItSpeaking EngagementsMyLawCLE / Webinar
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03.23.2021The Perils of Public Pronouncements: Accounting and Disclosure During Times of Severe Economic UncertaintySpeaking Engagements
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02.19.2020Crypto UpdateSpeaking EngagementsBahamas Financial Services Board’s Financial Crimes Enforcement, Compliance & Risk Mitigation Conference / Nassau, Bahamas
