SEC Enforcement Trends for 2016 -
Welcome to the latest edition of Fenwick and West’s Securities Litigation and Enforcement Newsletter. In this newsletter, we look at SEC enforcement trends for 2016, starting with a...more
4/1/2016
/ Accounting Fraud ,
Auditors ,
Confidentiality Agreements ,
Cooperation ,
Dodd-Frank ,
Financial Reporting ,
Foreign Corrupt Practices Act (FCPA) ,
Internal Controls ,
Mary Jo White ,
MCDC ,
Personal Liability ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Strategic Enforcement Plan ,
Voluntary Disclosure
The SEC recently issued guidance specifying that whistleblowers do not first have to take their concerns to the SEC in order to be covered by the SEC’s anti-retaliation rule. The guidance clarifies that those whistleblowers...more
9/22/2015
/ Anti-Retaliation Provisions ,
Barnes and Noble ,
Confidentiality Agreements ,
Enforcement Actions ,
Internal Investigations ,
Internal Reporting ,
KBR (formerly Kellogg Brown & Root) ,
Retaliation ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Whistleblowers ,
White Collar Crimes
A CD or not a CD, That is the Question… That the Auditors Should Have Answered -
A headline-grabbing SEC enforcement action last week against BDO USA and several of its national partners may lead audit firms to insist on...more
9/18/2015
/ Auditors ,
Bank of New York (BNY) Mellon ,
Bribery ,
Compliance ,
Confidentiality Agreements ,
Construction Contracts ,
Criminal Conspiracy ,
Cybersecurity ,
Data Protection ,
Data Security ,
Defense Contracts ,
Department of Justice (DOJ) ,
Embezzlement ,
Enforcement Actions ,
Federal Trade Commission (FTC) ,
Foreign Corrupt Practices Act (FCPA) ,
Foreign Official ,
Fraud ,
Internal Investigations ,
Internships ,
Money Laundering ,
Nuclear Power ,
Private Placements ,
Regulation D ,
Rule 506(c) ,
Russia ,
SAP America Inc. ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Software ,
Sovereign Wealth Funds ,
Whistleblowers ,
Willful Misconduct