Peter Anderson

Peter Anderson

Sutherland Asbill & Brennan LLP

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Incentive Compensation for Employees: Instead of Increasing Banks' Bottom Lines, These Arrangements May Increase the Risk of Fines

The New York State Department of Financial Services (DFS) recently issued guidance to regulated banking institutions (Institutions) prohibiting them from implementing incentive-based compensation programs unless these...more

10/27/2016 - Financial Crisis Financial Institutions Incentive Compensation New Guidance NYDFS Regulatory Oversight

A Subtle Snare of the Justice Against Sponsors of Terrorism Act for Businesses Indirectly Supporting International Terrorism

While countless news outlets have reported the recent Congressional override of President Obama’s veto of the Justice Against Sponsors of Terrorism Act (JASTA), few have given much thought to the more nuanced consequences...more

10/24/2016 - Anti-Terrorism Act Barack Obama Corporate Counsel JASTA Presidential Veto Private Right of Action State Sponsors of Terrorism Terrorist Acts

When Outside Compliance Monitors May Be a Blessing: Companies Subjected to Corporate Integrity Agreements May Be Undone by Rogue...

Companies face ever-increasing pressures to implement mechanisms designed to prevent or effectively address employee malfeasance. In today’s environment, even companies who appear to be cooperating with investigative and...more

10/12/2016 - Anti-Kickback Statute Corporate Integrity Agreement DOJ False Claims Act (FCA) Health Care Providers Hospitals

Internal Investigations: The Impact of the Yates Memo, the FCPA Unit Pilot Program and Recent Legal Decisions [Video]

Following recent regulatory announcements and legal decisions, internal investigations are becoming increasingly more complicated to navigate. Join Sutherland for a moderated roundtable where our experienced practitioners...more

8/10/2016 - D&O Insurance FCPA Internal Investigations Litigation Strategies Professional Liability White Collar Crimes Yates Memorandum

Cooperate or Terminate: Second Circuit Protects Companies that Terminate Employees for Failure to Cooperate with Investigations

On June 16, the U.S. Court of Appeals for the Second Circuit upheld the right of a company to terminate for cause executives who refuse to cooperate with an internal investigation and remain “silent” even with the specter of...more

6/29/2016 - Bid Rigging Board of Directors Cooperation Corporate Executives Criminal Investigations Employee Benefits Hiring & Firing Internal Investigations Just Cause Summary Judgment Termination Yates Memorandum

SEC Proposes Controversial Rule Requiring Companies to Adopt No-Fault Clawback Policies

Recently, the U.S. Securities and Exchange Commission (SEC or the Commission) proposed a controversial new rule under the Dodd-Frank Act that instructs companies to establish policies that require “executive officers” to...more

7/13/2015 - Accounting Clawbacks Disclosure Requirements Dodd-Frank Executive Compensation Incentive Compensation Proposed Regulation Publicly-Traded Companies Rule 10D-1 SEC

Broker-Dealers Face Unique Challenges Under Unclaimed Property Laws, Says New SIFMA White Paper

On January 23, 2015, the Securities Industry and Financial Markets Association (SIFMA) released a new white paper outlining the unique and varied challenges broker-dealers face when complying with state unclaimed property...more

1/29/2015 - Broker-Dealer Securities SIFMA Unclaimed Property

Legal Alert: SEC and PCAOB Address Independence Requirements in Audits Related to Broker-Dealers’ Financial Statements

Confirming that auditor independence continues to be a regulatory priority, the Securities and Exchange Commission (SEC or Commission) and the Public Company Accounting Oversight Board (PCAOB) issued orders on December 8,...more

12/11/2014 - Auditors Audits Broker-Dealer Financial Statements PCAOB Regulation S-X Sanctions SEC

Ten Items to Consider as FINRA’s Consolidated Supervision Rules Take Effect

On December 1, 2014, the Financial Industry Regulatory Authority’s (FINRA) Consolidated Supervision Rules will take effect. The Consolidated Supervision Rules, which were approved by the U.S. Securities and Exchange...more

11/25/2014 - FINRA Regulatory Standards SEC

What Does It Take to Make the SEC Happy? SEC Criticism of Broker-Dealers’ Due Diligence for Sales of Unregistered Securities...

To ensure that broker-dealers (BDs) do not inadvertently facilitate an unlawful distribution of securities, the Securities and Exchange Commission has long required BDs to conduct a “reasonable inquiry” into the circumstances...more

10/24/2014 - Broker-Dealer Due Diligence FINRA OCIE SEC Section 5 Securities Act of 1933 Settlement Unregistered Securities

FINRA Provides New Carve-Out Provisions to Include in Settlement and Confidentiality Agreements

Financial Industry Regulatory Authority (FINRA) Member Firms have new language to include in their settlement and confidentiality agreements. On October 9, FINRA released Regulatory Notice (RN) 14-40, warning that firms are...more

10/16/2014 - Arbitration Agreements Carve Out Provisions Confidentiality Agreements FINRA Settlement

SEC Approves Rule Preventing Barters for Expungement Cooperation – What You Can Do to Ensure Compliance

On July 22, the U.S. Securities and Exchange Commission (SEC) approved the Financial Industry Regulatory Authority’s (FINRA) proposed Rule 2081, which prevents firms or associated persons from conditioning settlement or...more

7/28/2014 - Consideration Expungement FINRA Proposed Regulation SEC Settlement

SEC Issues $875,000 Whistleblower Award

On June 3, 2014, the Securities and Exchange Commission (SEC or Commission) issued a whistleblower award to two individuals who had provided information leading to a successful SEC enforcement action. The whistleblower...more

6/10/2014 - Dodd-Frank Enforcement Enforcement Actions SEC Whistleblower Awards Whistleblowers

U.S. District Judge in Florida Dismisses SEC Action Against Corporate Defendants and Holds that Five-Year Statute of Limitations...

On May 12, Judge James Lawrence King of the U.S. District Court for the Southern District of Florida dismissed with prejudice the U.S. Securities and Exchange Commission’s (SEC) case against five defendants in an action...more

5/23/2014 - Dismissals SEC Securities Fraud Statute of Limitations Subject Matter Jurisdiction

Supreme Court Expands SOX Whistleblower Protection to Employees of Private Contractors of Public Companies

In the first SOX whistleblower case to be heard by the U.S. Supreme Court, the Court held on March 4 that the Sarbanes-Oxley Act of 2002 (SOX) prohibits private contractors of publicly traded companies from retaliating...more

3/6/2014 - Contractors Fidelity Investments FMR LLC Lawson v FMR Retaliation Sarbanes-Oxley SCOTUS Whistleblower Protection Policies Whistleblowers

M&A Brokers Exempt from SEC Broker-Dealer Registration Requirements

On January 31, 2014, the U.S. Securities and Exchange Commission’s (SEC) Division of Trading and Markets issued a No-Action Letter (Letter)1 that allows a private business broker (M&A Broker) to receive transaction-based...more

2/10/2014 - Broker-Dealer No-Action Letters Registration SEC Securities Exchange Act

SEC’s Examination Program Issues a Risk Alert on Investment Adviser Due Diligence Processes

On January 28, 2014, the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert entitled: Investment Adviser Due Diligence Processes for Selecting...more

2/3/2014 - Compliance Due Diligence Enforcement Investigations OCIE SEC

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