US Law Enforcement Assault on Market-Rigging and Capital Market Activities: An Analysis
Who, why and how are US enforcement agencies the Securities and Exchange Commission and the Department of Justice targeting in offshore market activity? What investigative techniques are they using? How expansive are the civil and criminal enforcement initiatives against gatekeepers? What are the market-rigging and capital market activities under scrutiny? What steps can offshore market participants take to protect themselves?
Engage in a candid dialogue with two attorneys, one a former SEC Enforcement lawyer and former US federal prosecutor, the other a former Assistant U. S. Attorney, about the who, what, where and how of the wide net that the US government is casting to pursue market rigging and other capital markets fraud.
Jacob S. Frenkel
Partner, Shulman Rogers (Washington, D.C.)
Partner, Kobre & Kim (Miami)