In the wake of market disruptions triggered by COVID-19, major U.S. government and regulatory enforcement agencies—including the Department of Justice (DOJ), Securities and Exchange Commission (SEC), and Commodity Futures Trading Commission (CFTC)—have begun highlighting potential legal risks to public companies and traders surrounding major shifts to our working landscape, including the temporary “new normal” of remote working. Current social distancing realities mean employees are working from home and, therefore, outside the traditional modes of oversight and supervision.

Once (and possibly even before) working conditions revert back to their “normal” state, it is likely that regulatory inquiries and investigations into potential misconduct during the days of remote working will emerge. Publicly-listed U.S. companies and traders should take steps today in preparation for the regulatory scrutiny of tomorrow.

A Window Into Potential Regulatory Investigations

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