Publications

• SEC’s Division of Enforcement Year-End Results Reflect Continuing Aggressive Approach to Enforcement and Remedies
  20 November 2023
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  James B. Amler
  ,
  Philip A. Fortino
  ,
  Anna Moody
  ,
  Stephan J. Schlegelmilch
  ,
  Mark D. Flinn
  ,
  Berk Guler
  ,
  Justin M. Shindo
• 2024 SEC Division of Examinations Priorities
  23 October 2023
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Charu A. Chandrasekhar
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  James B. Amler
  ,
  Philip A. Fortino
  ,
  Anna Moody
  ,
  Stephan J. Schlegelmilch
  ,
  Scott Woods
• FCPA Update November 2022
  2 December 2022
  Kara Brockmeyer
  ,
  Andrew M. Levine
  ,
  Philip Rohlik
  ,
  Joseph Ptomey
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  James B. Amler
  ,
  Charu A. Chandrasekhar
  ,
  Stephan J. Schlegelmilch
  ,
  Bailey K. Crawford
  ,
  Mark D. Flinn
  ,
  Berk Guler
• SEC’s Division of Enforcement Year-End Results Provide Insight into Record-Breaking Year in Monetary Sanctions, Novel Actions, and Evolving Enforcement Agenda
  21 November 2022
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  James B. Amler
  ,
  Charu A. Chandrasekhar
  ,
  Stephan J. Schlegelmilch
  ,
  Bailey K. Crawford
  ,
  Mark D. Flinn
  ,
  Berk Guler
• 2022 SEC Division of Examinations Priorities
  6 April 2022
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Marc Ponchione
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Kristin A. Snyder
  ,
  Jonathan R. Tuttle
  ,
  James B. Amler
  ,
  Charu A. Chandrasekhar
  ,
  Stephan J. Schlegelmilch
• SEC Continues Focus on Private Fund Adviser Disclosures and Other Topics
  4 February 2022
  Robert B. Kaplan
  ,
  Marc Ponchione
  ,
  Julie M. Riewe
  ,
  James B. Amler
  ,
  Sheena Paul
• SEC’s Division of Enforcement Year-End Results Announcement Reflects Transition in Enforcement Priorities and Chair Gensler’s Enforcement Agenda
  29 November 2021
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  James B. Amler
  ,
  Charu A. Chandrasekhar
  ,
  Stephan J. Schlegelmilch
  ,
  Mark D. Flinn
• Columbia Blue Sky Blog: Debevoise & Plimpton Discusses Federal Regulators’ Focus on AI and Consumer Protection in Finance
  15 November 2021
  Columbia Blue Sky Blog
  Courtney M. Dankworth
  ,
  Avi Gesser
  ,
  Gregory J. Lyons
  ,
  James B. Amler
• Increased Focus by Federal Regulators on AI and Consumer Protection in the Financial Sector
  10 November 2021
  Courtney M. Dankworth
  ,
  Avi Gesser
  ,
  Gregory J. Lyons
  ,
  James B. Amler
  ,
  Caroline N. Swett
  ,
  Adrian Gonzalez
  ,
  Alexandra N. Mogul
  ,
  Lorena Rodriguez
• SEC Division of Examinations Issues ESG Risk Alert
  16 April 2021
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Marc Ponchione
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  James B. Amler
• 2021 SEC Division of Examinations Priorities
  8 March 2021
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  James B. Amler
  ,
  Charu A. Chandrasekhar
• Law360: SEC Settlement With Hedge Fund Offers Corporate AI Lessons
  28 January 2021
  Law360
  Avi Gesser
  ,
  Robert B. Kaplan
  ,
  Valerie A. Zuckerman
  ,
  James B. Amler
  ,
  Steven Tegrar
  ,
  Tricia Reville
• Regulatory Risks for Not Disclosing Trading Algorithms - Five Takeaways from the SEC’s $170 million Settlement with BlueCrest Capital
  12 January 2021
  Avi Gesser
  ,
  Robert B. Kaplan
  ,
  James B. Amler
  ,
  Steven Tegrar
  ,
  Valerie A. Zuckerman
• CFPB Seeks Public Comment in Implementing Dodd-Frank’s Consumer Right of Access to Financial Records
  2 November 2020
  Courtney M. Dankworth
  ,
  Avi Gesser
  ,
  James B. Amler
• 2020 OCIE Priorities: Private Equity Remains Area of Interest, Focus on Retail and New SEC and Market-Wide Developments
  15 January 2020
  Kenneth J. Berman
  ,
  Andrew J. Ceresney
  ,
  Luke Dembosky
  ,
  Robert B. Kaplan
  ,
  Jim Pastore
  ,
  Julie M. Riewe
  ,
  Jeff Robins
  ,
  Jonathan R. Tuttle
  ,
  James B. Amler
  ,
  Norma Angelica Lopez Campos
• Law360: Health Care AI Increasingly In Crosshairs Of State, Fed. Gov't
  9 January 2020
  Law360
  Maura Kathleen Monaghan
  ,
  Jim Pastore
  ,
  James B. Amler
• SEC’s Division of Enforcement 2019 Annual Report Presents Strong Enforcement Results
  7 November 2019
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Arian M. June
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  James B. Amler
• House Financial Services Committee Considers Legislation that Would Make SEC Waivers More Difficult for Parties Settling with the Commission
  24 June 2019
  Kenneth J. Berman
  ,
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Matthew E. Kaplan
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  James B. Amler
• Law360: A Glimpse Into The Potential Future Of AI Regulation
  14 May 2019
  Law360
  Byungkwon Lim
  ,
  Gary E. Murphy
  ,
  Dr. Friedrich Popp
  ,
  James B. Amler
• Law360: DC Circ. Gives New Meaning To 'Willful' In Securities Statutes
  14 May 2019
  Law360
  Mary Jo White
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Kenneth J. Berman
  ,
  James B. Amler
• Law360: What SEC Exam Trends Mean For Asset Managers
  26 April 2019
  Law360
  Kenneth J. Berman
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Julie M. Riewe
  ,
  James B. Amler
• SEC’s Division of Enforcement Issues 2018 Annual Report
  5 November 2018
  Kara Brockmeyer
  ,
  Andrew J. Ceresney
  ,
  Robert B. Kaplan
  ,
  Andrew M. Levine
  ,
  Julie M. Riewe
  ,
  Jonathan R. Tuttle
  ,
  Mary Jo White
  ,
  Bruce E. Yannett
  ,
  James B. Amler
  ,
  Arian M. June
• Anti-Bribery Compliance in Russia: One Step Forward, Two Steps Back?
  21 August 2011
  BNA's White Collar Crime Report
  Bruce E. Yannett
  ,
  James B. Amler
  ,
  Jane Shvets
• FCPA Update
  July 2011, Vol. 2, No. 12
  Paul R. Berger
  ,
  Bruce E. Yannett
  ,
  James B. Amler
  ,
  Jane Shvets