As the first year of a new administration, 2017 was a year of transition in terms of both leadership and priorities of U.S. law enforcement agencies. Despite these changes, however, pre-existing trends in cross-border...more
3/22/2018
/ Anti-Corruption ,
Bribery ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Economic Sanctions ,
Enforcement Actions ,
Export Controls ,
Financial Conduct Authority (FCA) ,
Guilty Pleas ,
Money Laundering ,
Office of Foreign Assets Control (OFAC) ,
Sanction Violations ,
Securities and Exchange Commission (SEC) ,
Serious Fraud Office (SFO) ,
Spoofing ,
UK ,
Whistleblowers
Welcome to BakerHostetler’s 2017 Mid-Year Cross-Border Government Investigations and Regulatory Enforcement Review. This edition delivers news, analysis and insights into key developments in the cross-border investigations...more
9/20/2017
/ Anti-Money Laundering ,
CFTC ,
Corporate Counsel ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Economic Sanctions ,
Enforcement Actions ,
Export Controls ,
Joint Comprehensive Plan of Action (JCPOA) ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
SFO ,
UK ,
Whistleblowers
Welcome to the 2017 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
The purpose of this report is to provide a periodic survey – in addition to our Practice Team...more
7/31/2017
/ Broker-Dealer ,
CFTC ,
Commodities ,
Dodd-Frank ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Insider Trading ,
Internal Reporting ,
Investment Adviser ,
Kokesh v SEC ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
SLUSA ,
Whistleblower Protection Policies ,
Whistleblowers