Episodes
11
Latest episode
Jan 2025
Language
EN
Join hosts, Michael Loesch and Brendan Quigley for the Enforcement Insider, the podcast providing quick hits on the latest trends and developments in investigations and enforcement matters impacting the energy markets and energy market participants. Your hosts truly are insiders. Brendan led numerous complex investigations during his seven years as an Assistant United States Attorney in the Southern District of New York and Michael spent more than 14 years of his career in federal regulatory and legislative service, holding senior leadership positions at both the CFTC and the SEC. Their experience brings valuable insights and provides real-world tips for mitigating risks and addressing key compliance and investigation challenges.
Michael Loesch and Brendan Quigley host a discussion with Jeffrey Wood and Shailesh Sahay on the anticipated impacts of the Trump administration on compliance and enforcement, focusing on environmental regulations, the SEC, and the CFTC. They explore potential legislative changes, enforcement priorities, and tips for companies to navigate the evolving regulatory landscape.
Baker Botts Partners and hosts Brendan Quigley and Michael Loesch discuss two critical CFTC enforcement issues: cross-market manipulation and cooperation credit in investigations. They examine the recent case against TotalEnergies, which faced allegations of attempted manipulation in the European gasoline markets, resulting in a $48 million penalty and a cease-and-desist order.
In this episode of Enforcement Insider, hosts and Baker Botts Partners Brendan Quigley and Michael Loesch dive into a recently settled CFTC case surrounding three core violations including manipulation in the fuel oil markets, trading while in possession of misappropriated material nonpublic information, and impeding whistleblower communications.
Baker Botts Partners and hosts Brendan Quigley and Michael Loesch discuss the implications of the recent “shadow” insider trading case brought by the SEC and what it means for insider-trading enforcement going forward. In particular, Brendan and Michael discuss how the company insider-trading policy at issue in the case affected the charges and what that means for companies going forward. 2022 Client Alert on the same case.
Baker Botts Partner Joyce Adetutu joins hosts Brendan Quigley and Michael Loesch to discuss current issues, sanctions and export controls in compliance Joyce focuses her practice on complex legal regimes governing the international trade of goods, technology and services as well as cross border investments. This is a topic that has gotten the attention of the government over the last number of years so activities and potential penalties have ramped up on both the civil and governmental side of the issues.
Brendan Quigley and Michael Loesch are joined by new Baker Botts partner and former FERC Director of Investigations David Applebaum to discuss the latest trends in FERC Enforcement and the SEC’s climate disclosure rule. Client Alerts: FERC Modifies its Process for Resolving Enforcement Investigations by Settlement, Giving Enforcement Staff More Authority and Discretion SEC Adopts Final Rules Requiring Disclosures of Climate-Related Risks, Financial Impacts, and Greenhouse Gas Emissions
Recently the SEC, the CFTC, and FINRA have all brought enforcement actions against compliance officers. In addition, SEC Enforcement Director Gurbir S. Grewal gave a speech back in October at the New York City Bar Compliance Institute in which he discussed at some length, the criteria, the SEC uses to decide whether to bring enforcement actions against CCOs. Hosts Michael Loesch and Brendan Quigley discuss whether they think compliance officers are back in the crosshairs.
During this episode, hosts Michael Loesch and Brendan Quigley invite Baker Botts Partner Bridget Moore to discuss fiscal year-end enforcement trends for the SEC, CFTC and DOJ. They also cover a recent CFTC enforcement advisory on penalties, monitors and admissions announced by CFTC Director of Enforcement, Ian McGinley, as well as implications for corporate compliance programs. CFTC Press Release
In this episode, partners Michael Loesch and Brendan Quigley discuss further activity and substantial penalties in CFTC recordkeeping and communications cases involving third party vendor failures. Brendan and Michael are also joined by firm partner Michael Ward to cover the disruption that is artificial intelligence (AI) and what that means to company compliance officers. For more information please visit bakerbotts.com/services/practice-areas/artificial-intelligence-ai or bakerbotts.com/services/practice-areas/enforcements-and-investigations.
In this episode, partners Michael Loesch and Brendan Quigley discuss two recent cases that involved issues resulting from company counsel interviewing corporate executives in an internal investigation and the companies’ later decisions to share information from those interviews with government investigators. Brendan and Michael provide their thoughts on best practices for “Upjohn warnings” and other potential issues company counsel should consider when interviewing individuals. Baker Botts Client Alert: General Counsel Publicly Reprimanded: PA Supreme Court Ruling Serves as Stark Reminder of Potential Ethical Issues in Government Investigations NYC Bar Association Recommendations DOJ Criminal Division Corporate Enforcement and Voluntary Self-Disclosure Policy
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