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Publications
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12.20.2023FINRA’s In-House Courts Facing Challenges, Jarkesy Ripple EffectIn a commentary for Bloomberg Law, Rachel Mechanic and Daniel Zinman explain how FINRA's in-house tribunal system is defending constitutional challenges and may also have to navigate repercussions from a Supreme Court securities case.
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09.12.2022SEC's Proposed SPAC Rules & Market ReactionArticlesOn March 30, 2022, the Securities and Exchange Commission (SEC) proposed rules governing special purpose acquisition companies (SPACs).
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01.26.2022Chancery Court Applies Onerous Entire Fairness Standard in First SPAC-Related DecisionUpdatesThe Delaware Chancery Court recently sustained the legal viability of a putative shareholder class action brought against a SPAC’s directors, officers, controlling shareholder, and financial advisor based on an allegedly false and misleading proxy statement.
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09.2021SPAC Due Diligence & SEC EnforcementArticlesAfter a year of watching and commenting on the recent proliferation in special purpose acquisition company (SPAC) IPOs and mergers, the SEC announced its first major enforcement action in the SPAC arena since the beginning of the explosion in mid-2020.
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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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12.31.2020The CARES Act – Lenders BewareArticlesThe financial institutions, thrust as emergency lenders into the middle of loan programs under the Coronavirus Aid, Relief, and Economic Security Act (CARES Act), will necessarily also be in the middle of government fraud investigations that Congress has made clear will follow.
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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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2024The Compliance Collective Webinar SeriesWebinarsPerkins Coie WebinarsThe webinar series will be hosted by a team of cross-disciplinary Perkins Coie lawyers providing a monthly overview and discussion forum on a critical hot topic in ethics and compliance.
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11.14.2023
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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
