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Amy J. Greer

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Amy serves as the Co-chair of Baker McKenzie's North American Financial Regulation and Enforcement Practice, which provides our clients with a full range of regulatory advice and enforcement counseling. Amy also serves on the steering committees of the Firm's Global Financial Services Regulatory and Global Financial Institutions Groups. Previously, Amy has served as chief litigation counsel at the US Securities and Exchange Commission's (SEC) Philadelphia regional office and managed a team of lawyers overseeing a wide variety of enforcement matters.
In Anti-Corruption

SCOTUS to Review SEC Disgorgement Power

by , , , and 5 Mins Read

On November 1st, the U.S. Supreme Court agreed to hear arguments on whether the SEC has the authority to obtain disgorgement of “ill-gotten gains” in federal court for securities law violations.  The SEC historically has been successful in obtaining monetary relief from defendants through disgorgement, which the SEC has asserted…

In North America

SEC Staff Publishes Guidance on Investment Adviser Disclosure of Financial Conflicts of Interest

by , and 10 Mins Read

The Division of Investment Management recently issued guidance on the obligation of investment advisers to disclose financial conflicts of interest in the form of Frequently Asked Questions Regarding Disclosure of Certain Financial Conflicts Related to Investment Adviser Compensation (the “Guidance”).  The Guidance substantiates (and to some degree legitimizes) the positions…