DOJ has introduced the new three-year Pilot Program, managed by the Criminal Division’s Money Laundering and Asset Recovery Section, effective August 1. Under this Pilot Program, whistleblowers meeting certain criteria may be...more
8/9/2024
/ CFTC ,
Compliance ,
Corporate Crimes ,
Corporate Misconduct ,
Department of Justice (DOJ) ,
Federal Pilot Programs ,
FinCEN ,
Pilot Programs ,
Securities and Exchange Commission (SEC) ,
Self-Reporting ,
Voluntary Disclosure ,
Whistleblower Awards ,
Whistleblowers ,
White Collar Crimes
The settlements announced by the SEC and CFTC on Monday are a continuation of the regulators’ focus on off-channel communications by employees of registered entities....more
8/11/2023
/ Books & Records ,
Bring Your Own Device (BYOD) ,
Broker-Dealer ,
CFTC ,
Civil Monetary Penalty ,
Commodity Exchange Act (CEA) ,
Data Preservation ,
Data Retention ,
Electronic Communications ,
Enforcement Actions ,
Financial Services Industry ,
Hedge Funds ,
Mobile Apps ,
Private Equity ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Settlement ,
Swap Dealers
Join BakerHostetler’s White Collar, Investigations and Securities Enforcement and Litigation team for a complimentary webinar on trends and predictions for 2019 in the cross-border government investigations and enforcement...more
4/25/2019
/ CFTC ,
Compliance ,
Continuing Legal Education ,
Criminal Investigations ,
Cross-Border ,
Defense Strategies ,
Department of Justice (DOJ) ,
Enforcement ,
Enforcement Authority ,
Foreign Nationals ,
Government Investigations ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Strategic Enforcement Plan ,
Webinars ,
White Collar Crimes
BakerHostetler’s White Collar, Investigations and Securities Enforcement and Litigation team is pleased to release its 2018 Year-End Cross-Border Government Investigations and Regulatory Enforcement Review, a resource for...more
4/3/2019
/ Blockchain ,
CFTC ,
Corruption ,
Cross-Border ,
Cryptocurrency ,
Cyber Crimes ,
Deferred Prosecution Agreements ,
Department of Justice (DOJ) ,
Foreign Corrupt Practices Act (FCPA) ,
General Data Protection Regulation (GDPR) ,
Initial Coin Offering (ICOs) ,
Money Laundering ,
Popular ,
Securities Fraud ,
Trade Secrets ,
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
Halfway through 2016, the international community has seen a staggering variety of cross-border investigations and enforcement actions. Brexit, the release of the Panama Papers, allegations of widespread sports doping and the...more
9/16/2016
/ Broker-Dealer ,
CFTC ,
Corporate Counsel ,
Department of Justice (DOJ) ,
EMIR ,
Export Controls ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Hackers ,
Money Laundering ,
Panama Papers ,
Popular ,
Sanctions ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Spoofing ,
UK