Mark A. Rush

Mark A. Rush

K&L Gates LLP

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Latest Publications


International AML Enforcement in 2017 Expected to Target Consumer-Due-Diligence Programs, Gaming Entities, Prepaid Cards, Digital...

Over the past two years, financial regulatory bodies in the United States and Europe have increasingly emphasized consumer due diligence (“CDD”) by financial institutions as a means to combat money laundering and terrorist...more

11/30/2016 - Anti-Money Laundering Customer Due Diligence (CDD) DOJ Due Diligence EU FATF Financial Institutions FinCEN Member State OFAC Terrorism Funding Virtual Currency

FinCEN Looks to Financial Institutions to File SARs Regarding Cyber-Events

On October 25, 2016, the Financial Crimes Enforcement Network (“FinCEN”) issued an advisory (the “Advisory”) explaining the obligations a “financial institution” might have under the Bank Secrecy Act (“BSA”) regarding...more

11/7/2016 - Bank Secrecy Act Cyber Crimes Cybersecurity Distributed Denial of Service Financial Institutions FinCEN Suspicious Activity Reports (SARs)

Tax Evasion - Nowhere Left to Hide

Global tax evasion remains a major problem for governments around the world. At a time when virtually all of the governments from the world’s major economies seek additional revenue, the attractiveness to taxpayers of...more

10/28/2016 - Common Reporting Standard (CRS) DOJ FATCA FBAR Financial Institutions Foreign Financial Institutions (FFI) IRS OECD Tax Evasion

Sixth Circuit’s Rejection of Taint Damages Theory in False Claims Act Case Reinforces that Value-Received May Substantially Offset...

In False Claims Act (“FCA”) cases, the Department of Justice and, where the government has declined to intervene, qui tam plaintiffs, routinely pursue aggressive damages theories. In its recent decision in U.S. ex rel. Wall...more

4/25/2016 - Actual Damages Construction Contracts Damages Davis-Bacon Act DOJ False Claims Act (FCA) Federal Contractors Public Works Wage and Hour

FINRA Targets AML Programs and “Culture of Compliance” as 2016 Enforcement Priority, Particularly for High-Risk Broker/Dealers

Under Securities and Exchange Commission (“SEC”) authorization, the Financial Industry Regulatory Authority (“FINRA”) is “responsible for regulating (1) all securities firms that do business with the public[,]” (2) key stock...more

4/25/2016 - Anti-Money Laundering Bank Secrecy Act Broker-Dealer Compliance Corporate Culture Enforcement Actions Examination Priorities FinCEN FINRA Risk Management SEC

Pennsylvania’s Proposed False Claims Act: Why Further Incentivizing Whistleblowers Is Unnecessary, Counterproductive, and Could...

As Pennsylvania legislators work to resolve the budget impasse, proponents of enacting a Pennsylvania False Claims Act (“PA FCA”) targeting Medicaid continue to intensify their efforts in Harrisburg. Legislators may consider...more

4/14/2016 - Fraud Medicaid State Budgets State False Claims Acts Whistleblowers

Are Your Company’s Legal, Due-Diligence, De-risking, or Compliance Obligations Impacted by the “Panama Papers”?

In an unprecedented event earlier this week, 11.5 million files from the Panamanian law firm Mossack Fonseca were allegedly leaked. Assuming they are genuine, as appears to be the case, these “Panama Papers” offer a...more

4/12/2016 - Anti-Corruption Bribery BSA/AML Criminal Penalties DOJ Due Diligence Enforcement Actions FCPA FinCEN Money Laundering Panama Papers Risk Mitigation SEC Shell Corporations Young Lawyers

Government Investigations Into Cybersecurity Breaches In Healthcare

In September 2015, a U.S. Department of Health and Human Services (HHS), Office of the Inspector General (OIG), report found that the Office of Civil Rights (OCR), the agency charged with ensuring compliance with the Health...more

2/15/2016 - Breach Notification Rule Cybersecurity Data Breach Government Investigations Health Care Providers HIPAA Incident Response Plans PHI Privacy Rule

Treasury Department Issues Cybersecurity Checklist for Financial Institutions: What Might Apply to Your Financial Services...

On November 17, 2015, Deputy Treasury Secretary Sarah Bloom Raskin devoted her remarks at the Clearing House Annual Conference to financial sector cybersecurity. She concluded with a list of recommendations for handling...more

12/15/2015 - Cybersecurity FCRA Financial Services Industry Gramm-Leach-Blilely Act Sarbanes-Oxley SEC State Data Breach Notification Statutes

Accepting Daily Fantasy Sports Payments and Proceeds May Be Unlawful: New York AG Accuses DFS Sites of Leading “Massive . . ....

New York Attorney General (“NYAG”) Eric Schneiderman has claimed that daily fantasy sports (“DFS”) sites, including FanDuel and DraftKings, violate New York state gambling laws. He has issued cease-and-desist letters, giving...more

11/16/2015 - Fantasy Sports NYDFS Online Gaming Sports Betting UIGEA

DOJ Sharpens Focus on Corporate Compliance in Deciding Whether to Prosecute Companies

One of the factors that the U.S. Department of Justice (DOJ) considers in deciding whether to bring charges against a corporation is the existence and effectiveness of the corporation’s pre-existing compliance program. On...more

11/5/2015 - Anti-Bribery Anti-Corruption Banking Sector Banks Bribery Compliance Corporate Counsel Corporate Fraud Corruption DOJ Financial Institutions Government Investigations White Collar Crimes

Is Money Being Laundered Through Your Financial Institution Using Daily Fantasy Sports Sites?

This alert addresses the explosion in popularity of daily fantasy sports (“DFS”) sites and the money-laundering potential that DFS sites may offer to criminals around the world. It then explains potential legal liability...more

11/2/2015 - Advertising Anti-Money Laundering Bank Secrecy Act Banking Sector Banks BSA/AML Compliance DOJ Fantasy Sports Financial Institutions FinCEN Football Gambling Money Laundering OFAC Online Gaming Online Platforms SAR Sports Sports Gambling Suspicious Activity Reports (SARs) UIGEA Venture Capital

New DOJ Guidance Sharpens the Focus on Prosecuting and Suing Individuals in Corporate Criminal Investigations

On September 9, 2015, the U.S. Department of Justice (“DOJ” or the “Department”) issued a memorandum to its staff revising the principles guiding criminal and, indeed, civil enforcement in corporate criminal investigations...more

9/11/2015 - Criminal Investigations DOJ Enforcement Actions FDA FDCA Indictments White Collar Crimes Willful Misconduct

A Stern Reminder from U.S. v. Fokker: The Execution of a Corporate Deferred Prosecution Agreement May Not Be the End of a...

A phenomenon virtually foreign to the 20th Century, the use of pre-plea agreements by the Department of Justice (“DOJ”), typically in the form of a deferred prosecution agreement (“DPA”) (or a non-prosecution agreement...more

3/24/2015 - Aerospace Corporate Crimes Criminal Conspiracy Criminal Prosecution Deferred Prosecution Agreements DOJ Enforcement Actions Export Controls Fokker Government Investigations

Blurring the Lines between False Claims Act Litigation and Putative Federal Malpractice Law: The DOJ Quietly Invokes “Worthless...

On October 10, 2014, the United States Department of Justice (“DOJ”) announced a civil settlement agreement (the “Settlement”) with Extendicare Heath Services, Inc. and its subsidiary Progress Step Corporation (collectively,...more

10/23/2014 - Corporate Integrity Agreement DOJ False Claims Act (FCA) Healthcare HHS Medicaid Medical Malpractice Medical Reimbursement Medicare Non-Judicial Settlement Agreements OIG Skilled-Care Providers Standard of Care Worthless Services Claims

Corporate Responses to Investigative Requests by the Federal Government

In light of these new realities corporations face, the first step a company should take is to establish internal guidelines addressing interaction with government agents. Companies should have a response policy in place and...more

9/4/2014 - Best Management Practices Government Investigations Investigations Policies and Procedures

Enhanced Protections for Federal-Employee Whistleblowers: Sign of Things to Come?

Whistleblowers who work for the federal government recently received greater protection under federal law. These additional protections are significant and close prior gaps in the protections afforded by previous statutes and...more

1/11/2013 - Garcetti Whistleblower Protection Enhancement Act Whistleblower Protection Policies Whistleblowers

Sending the Privilege Away: Attorney-Client E-Mails in the Corporate Setting

In a pending False Claims Act (“FCA”) case involving allegations of noncompliance with the federal physician self-referral law (the “Stark Law”), 42 U.S.C. § 1395nn, the United States District Court for the Middle District of...more

1/8/2013 - Attorney-Client Privilege Corporate Counsel Crime-Fraud Exception Email False Claims Act (FCA) Stark Law Whistleblowers Work Product Privilege

Off-Label Marketing Questioned as a Viable Criminal Theory – But Stay Tuned

On December 3, 2012, a divided Second Circuit held in United States v. Caronia (“Caronia”) that the misbranding provisions of the Federal Food, Drug, and Cosmetic Act (“FDCA”) do not criminalize “the truthful off-label...more

12/17/2012 - FDA FDCA First Amendment Marketing Misbranding Off-Label Promotion Off-Label Use Pharmaceutical Industry

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