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Judge Ralph Winter '60 and YLS Prof. Alan Schwartz '67 at the 2009 Winter Lecture with U. Chicago Booth Prof. Steven N. Kaplan
Audience at 2009 Raben Lecture with U. of Chicago Booth Prof. Luigi Zingales
U. of Chicago Booth Prof. Luigi Zingales and YLS Prof. and Center Dir. Roberta Romano '80 at 2009 Raben Lecture
U. of Chicago Booth Prof. Luigi Zingales and YLS Prof. and Center Dir. Roberta Romano '80 at 2009 Raben Lecture
U. of Chicago Booth Prof. Steven N. Kaplan at the 2009 Winter Lecture
YLS Profs. Alan Schwartz '64 and Henry Hansmann '74 at the 2009 Weil, Gotshal & Manges Roundtable
YLS Profs. Alan Schwartz '64 and Henry Hansmann '74 at the 2009 Weil, Gotshal & Manges Roundtable
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Home » Activities » Alumni Breakfasts » June 28, 2023: Policing the Securities and Digital Asset Markets: Current Enforcement Priorities

June 28, 2023: Policing the Securities and Digital Asset Markets: Current Enforcement Priorities

CLE Readings

  1. DOJ’s Justice Manual, Section 9-28.300, Factors to Be Considered in the Prosecution of Business Organizations (the so-called “Filip Factors”)
  2. Daniel C. Richman, Corporate Headhunting, 8 Harv. L. & Pol’y Rev. 265 (2014)
  3. Memorandum from Deputy Attorney General Sally Quillian Yates titled “Individual Accountability for Corporate Wrongdoing,” Sept. 9, 2015
  4. Memorandum from Deputy Attorney General Lisa Monaco titled “Further Revisions to Corporate Criminal Enforcement Policies Following Discussions with Corporate Crime Advisory Group,” Sept. 15, 2022
  5. Press Release, “Damian Williams and Breon Peace Announce New Voluntary Self-Disclosure Policy for United States Attorney’s Offices,” Feb. 22, 2023
  6. Speech by Assistant Attorney General Kenneth A. Polite, Jr. at the ABA’s 38th Annual National Institute on White Collar Crime, March 3, 2023
  7. Gary Gensler, “Testimony of Chair Gary Gensler before the United States House of Representatives Committee on Financial Services” (April 18, 2023), 
  8. Press Release, “SEC Issues Largest-Ever Whistleblower Award,” May 5, 2023

Suggested Additional Reading

  1. The Hon. Jed S. Rakoff, U.S. District Court for the Southern District of New York, “The Financial Crisis: Why Have No High-Level Executives Been Prosecuted,” The New York Review, January 9, 2014
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Upcoming Events

  • November 28, 2023 - 12:10pm to 1:30pm
    SLB Room 129
    Occasional Lecture

    Sven Riethmueller, Clinical Associate Professor of Law and Robert Todd Lang ’47 Entrepreneurship Fellow, "11th Hour Option Discounting: The Significance of IPO Prognostications in Fixing Equity Compensation." Co-sponsored with the Yale Law & Business Society and the Yale Journal on Regulation.

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