CFTC Brings First Action for Impeding Whistleblowers and Continues Insider Trading and Manipulation Focus

Recent Insider Trading Developments

Baker Botts Partners and hosts Brendan Quigley and Michael Loesch discuss the implications of the recent “shadow” insider trading case brought by the SEC and what it means for insider-trading enforcement going forward. In particular, Brendan and Michael discuss how the company insider-trading policy at issue in the case affected the charges and what that means for companies going forward. 2022 Client Alert on the same case.

Current Issues in Sanctions and Export Controls in Compliance

Baker Botts Partner Joyce Adetutu joins hosts Brendan Quigley and Michael Loesch to discuss current issues, sanctions and export controls in compliance Joyce focuses her practice on complex legal regimes governing the international trade of goods, technology and services as well as cross border investments. This is a topic that has gotten the attention of the government over the last number of years so activities and potential penalties have ramped up on both the civil and governmental side of the issues.

FERC Investigations Outlook; SEC Climate Disclosure Rule

Brendan Quigley and Michael Loesch are joined by new Baker Botts partner and former FERC Director of Investigations David Applebaum to discuss the latest trends in FERC Enforcement and the SEC’s climate disclosure rule. Client Alerts: FERC Modifies its Process for Resolving Enforcement Investigations by Settlement, Giving Enforcement Staff More Authority and Discretion SEC Adopts Final Rules Requiring Disclosures of Climate-Related Risks, Financial Impacts, and Greenhouse Gas Emissions