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US Agencies Issue Joint Compliance Note on Russia-Related Sanctions and Export Controls Evasion

The first-ever tri-seal Note highlights tactics used to circumvent Russia-related restrictions, while NSD adds 25 prosecutors focusing on sanctions and export controls. In May 2022, shortly after hostilities in Ukraine...more

Are Changes in Store for US White Collar Enforcement?

Recent developments include updated DOJ compliance guidance, a continued rise in FCPA proceedings and penalties, and new investigatory approaches in light of the pandemic. 2020 saw many important developments in US white...more

US Congress Affirms and Expands SEC’s Disgorgement Authority in Annual Defense Spending Bill

The legislation - passed via the first congressional override of the Trump presidency - extends the SEC’s ability to obtain disgorgement for violations of federal securities laws. Key Points: ..As amended, the...more

US Supreme Court Upholds SEC’s Authority to Seek Disgorgement

Questions about the scope of the SEC’s disgorgement authority remain open, including in administrative proceedings. Key Points: ..Since the April 2017 decision in Kokesh v. SEC, the statutory authority of the Securities...more

Second Circuit Reinforces FCPA’s Jurisdictional Limits

Ruling holds that the government cannot use conspiracy and accomplice liability theories to reach foreign nationals that lack US ties. Key Points: ..Non-resident foreign nationals who are not otherwise subject to direct...more

CFPB Enforcement Update

This update analyzes the trends and patterns in the Consumer Financial Protection Bureau’s publicly available enforcement actions. Leveraging the analysis in our December 2014 White Paper, CFPB Enforcement by the Numbers...more

DOJ Guidance Prioritizes Individuals in Criminal and Civil Corporate Enforcement Actions

A serious shift of focus to individual accountability may impact traditional corporate defense and settlement tactics. On September 9, 2015, the Department of Justice (DOJ) issued a set of guidelines that formally revise...more

CFPB Enforcement by the Numbers

A substantive and statistical analysis of the Consumer Financial Protection Bureau’s 62 publicly available enforcement actions to date reveals preliminary trends and patterns. Established in 2011 in the wake of the...more

How to Respond to a CFPB Civil Investigative Demand

Under CFPB’s broad mandate, many companies outside the financial services industry may be subject to expensive civil investigations. A for-profit technical school may not appear to be a financial services company. But...more

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