Welcome to Compliance Hot Spots, our weekly snapshot on white-collar, regulatory and compliance news and trends. Today, we explore the implications of a new court ruling on SEC’s in-house judges. Plus, a Kaplan Hecker partner is leaving for a senior role at DOJ and Morgan Lewis counsels a bank ensnared by the SEC’s ESG task force. Please get in touch with tips and feedback. Contact me at [email protected] and @AGoudsward on Twitter.U.S. Court of Appeals for the Fifth Circuit in New Orleans. Photo: Mike Scarcella/ALM
Fifth Circuit Ruling Strikes at Heart of SEC Enforcement
In a ruling that could potentially upend the SEC’s enforcement proceedings going forward, a federal appeals court ruled May 18 that the SEC’s in-house adjudication process is unconstitutional, my colleague Marianna Wharry reports.
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