Securities Business Organization Criminal Law

SEC Criminal Prosecution DOJ Insider Trading FCPA Enforcement Actions Compliance Personal Benefit Bribery Illegal Tipping US v Salman Securities Fraud SCOTUS UK US v Newman Anti-Corruption Dirks v SEC Popular White Collar Crimes Fraud Yates Memorandum Confidential Information Personal Liability Financial Conduct Authority (FCA) Material Nonpublic Information Cooperation Corporate Counsel Misappropriation Deferred Prosecution Agreements Offering Fraud Price Manipulation Tippees Tippers CFTC Disgorgement Government Investigations Hedge Funds Whistleblowers Chief Compliance Officers Guilty Pleas Internal Controls Internal Investigations Securities Violations Anti-Bribery Corporate Misconduct Corruption Indictments Money Laundering Securities Exchange Act Spoofing Wire Fraud Attorney-Client Privilege Conflicts of Interest Corporate Crimes Federal Pilot Programs FINRA Individual Accountability Non-Prosecution Agreements Settlement Voluntary Disclosure Board of Directors China Corporate Governance False Statements FCPA Resource Guide Federal Sentencing Guidelines Subsidiaries Brazil Canada Corporate Officers Criminal Conspiracy Criminal Investigations Ethics Fiduciary Duty Fines Foreign Official OECD Acquisitions Anti-Money Laundering Attorney Generals Audits Books & Records Breach of Duty CEOs Convictions Criminal Convictions Enforcement FBI Hong Kong Securities and Futures Commission (HKSFC) JPMorgan Chase Market Abuse Misrepresentation Risk Assessment Risk Management Securities Litigation Serious Fraud Office Statute of Limitations Teva Pharmaceuticals Whistleblower Awards AML/CFT Appeals Bank Secrecy Act Barclays BlackRock Broker-Dealer C-Suite Executives Commodities Corporate Executives Corporate Fraud D&O Insurance Dark Pool Deutsche Bank Disruptive Trading Practices Dodd-Frank Due Diligence Economic Sanctions Evidence False Claims Act (FCA) Futures Investigations Jury Trial Kickbacks Market Manipulation Mergers Mexico Penalties Pharmaceutical Industry Ponzi Scheme Ralph Lauren Remediation Reporting Requirements Shareholders Suspicious Activity Reports (SARs) UK Bribery Act Unregistered Securities Acquittals Administrative Hearings Aiding and Abetting ALJ Allianz Argentina Australia Australian Securities and Investments Commission Bank Fraud Beneficial Owner Block Trades Capital Formation Capital Markets CFPOA Cherry Picking Civil Monetary Penalty Class Action CME Cooperation Agreement Corporate Culture Corporate Fines Corporate Investigations Corporations Code Cross-Border Declination Derivative Suit Derivatives Clearing Organizations Disclosure Disclosure Requirements DPA Electronic Blue Sheets Employer Liability Issues Energy Sector Enforcement Statistics EU Export Controls Fake News FCMs Federal Prosecutors Financial Crimes Financial Crisis Financial Fraud FinCEN Forfeiture GAAP GlaxoSmithKline Goldman Sachs Hackers Hong Kong Indemnification India International Organization for Standardization Investment Adviser Investment Funds IRS Judge Rakoff Libor Meals-Gifts-and Entertainment Rules MiFID II New Guidance Novartis Nu Skin OFAC Plea Agreements Policies and Procedures Portfolio Managers Professional Misconduct Prudential Regulation Authority Publicly-Traded Companies Pump and Dump Regulation SHO SDN List Selective Waivers Self-Reporting Sentencing Settlement Agreements Shareholder Litigation Shell Corporations Telecommunications Third-Party Risk TRACE Training Unregistered Brokers Upjohn Warnings Wal-Mart Willful Misconduct Work Product Privilege Accounting Accounting Controls Administrative Appointments Administrative Proceedings Administrative Resignation Admissions Advancement Advisory Opinions Africa Aggregation Rules Airbus Airlines Algorithmic Trading Alstom Alternative Trading Systems Amended Regulation American Bar Association (ABA) AML-CTF Anheuser-Busch Antitrust Division Appointments Clause Apportionment Arbitration Arms Export Control Act Asset Management Asset Valuations AstraZeneca Attorney's Fees Auditor Independence Auditors Austria Automated Systems Aviation Industry Avon BaFin Balance Sheets Bank of England Bank of New York (BNY) Mellon Banking Sector Banks Basel Committee Benchmark Pricing Benchmarking Bernie Madoff BHP Billiton Bids Boeing BP Breach of Trust Broken Windows Broker Commissions Burden of Proof Business Conduct Standards Business Continuity Plans Business Development BVI Business Companies Bylaws Capital Gains Capital Requirements CBOE Cease and Desist Orders Certifications CFIUS CFOs Chamber of Commerce Chile CIP Citigroup Civil Forfeiture Civil Investigation Demand Clean Companies Act Clearing Members Comment Period Commercial Bankruptcy Competition Confidential Communications Conflict Mineral Rules Contract Drafting Controlled Substances Cooperation Initiative COOs Corporate Gifts Corporate Integrity Agreement Corporate Liability Corporate Social Responsibility Corporate Veil Cost Allocation Counterparties Covered Financial Institutions Credit Suisse Criminal Liability Criminal Penalties Criminal Procedure Criminal Sanctions Crowdfunding Cuba Custody Rule Customer Due Diligence (CDD) Customer Identification Program (CIP) Cyber Attacks Cybersecurity Damages Debt Securities Defense Contracts Delaware General Corporation Law Department of Financial Services Depositions Disciplinary Proceedings Discovery Discovery Rule Distribution Rules Dividends DreamWorks Duty to Defend EB-5 EFRP Eli Lilly Elizabeth Warren EMIR Employee Training En Banc Review Environmental Crimes EPA Ernst & Young EU Directive European Securities and Markets Authority (ESMA) Excessive Fees Executive Compensation Expedia Extortion Extradition Facilitation Payments Failure To Disclose False Advertising FATCA FATF Federal Contractors Fédération Internationale de Football Association (FIFA) Fees FERC Fifth Amendment Filip Factors Final Rules Financial Promotions Financial Reporting Financial Restatements Financial Sector Financial Services Act Financial Services Authority Financial Services Industry Financial Statements Finland Fitbit Fixing America’s Surface Transportation Act (FAST Act) FOIA Foreign Currency Foreign Exchanges Foreign Narcotics Kingpin Sanctions Foreign Nationals Foreign Private Issuers Foreign Subsidiaries Forex Form 10-K Former Directors Forum Selection Forum Selection Clause France Fraudulent Charges Freeze Order FSMA FTC Fund Managers Fund Transfer Controls Gabelli v SEC Gambling General Licenses Germany Global Standards Good Faith Goodyear Government Officials Governor Cuomo Haiti Hart-Scott-Rodino Act Health Care Providers Health Net Heinz Hitachi HM Treasury Hong Kong Stock Exchange Hospitality Programs HSBC Hungary IBM Indemnification Clauses Independent Boards Independent Counsel Inducement Initial Public Offerings Injunctions Insider Information Insurance Litigation Internships Interstate Commerce Investment Advisers Act of 1940 Investment Banks Investment Fraud Investment-Only Exemption Investor Protection Investors Iran Sanctions ISDA ISS JOBS Act Joint Venture Journalism Jurisdiction Jury Verdicts Kokesh v SEC Korea KPMG Kuwait Layering Legal Entities Leidos Inc v Indiana Public Retirement System Leniency Programs Listing Standards Magyar Telekom Malaysia Manufacturers Margin Calls Margin Requirements Market Access Rule Markups Martin Shkreli Meal and Entertainment Expenditures Media Leaks Medicaid Medical Devices Medicare Advantage Memorandum of Understanding Mens Rea Merrill Lynch MetLife MF Global Minerals Mining Mismanagement MLD4 Money Transfer Monsanto Moody's Mortgage Lenders Mortgage-Backed Securities Motion to Dismiss Multidistrict Litigation Multinationals Municipal Bonds Nasdaq Natural Gas Negligent Misrepresentation Negotiations New Legislation Newman No-Action Relief Non-GAAP Financial Measures NYSE Occupational Fraud OCIE Odebrecht Offering Statements Offshore Drilling OIG Omissions Ontario Securities Commission (OSC) Operation Broken Gate Oracle Panama Papers Parent Corporation Payroll Taxes PCAOB Penny Stocks Personal Jurisdiction Petition For Rehearing Plea Negotiations Political Corruption Position Limits Preliminary Injunctions Presidential Appointments Private Equity Firms Private Equity Funds Private Funds Privilege Waivers Promissory Notes Prospectus Proxy Statements Public Comment Qualcomm Raj Rajaratnam Rare Earth Metals Record Retention Recordkeeping Requirements Registration Requirement Regulation AT Regulation MAR Regulation S-K Regulatory Standards REIT Request For Information Reserve Responsible Person Liability Retaliation Risk Alert Risk Capital Risk Mitigation Rolls-Royce Rule 10b-5 Rule 11 Russia SAC Capital Sanctions Sapin II Scienter Search Warrant Secretary of State Section 10(b) Section 7 of UKBA Securities Securities Act of 1933 Securities Traders Security-Based Swaps Self-Dealing Senate Confirmation Hearings Senior Managers Short Selling Siemens Singapore Sixth Amendment South Africa South Korea Sovereign Wealth Funds Special Committees Spoliation State Street Stock Exchange Stock Promoters Stock Trades Stocks Strategic Enforcement Plan Strict Liability Successor Liability Supreme Court of Canada Suspensions Swap Dealers Tax Avoidance Tax Court Tax Liability Tax Refunds Tender Offers Terrorism Funding Terrorist Financing Regulations Texas Thailand Third-Party Relationships Third-Party Service Provider Tone At The Top Trade Market Abuse Trade Secrets Transparency Transparency International Trump Administration Twitter U.S. Attorney UK Brexit Ukraine Unicorns United Airlines US v Yates USPS Variable Annuities Venezuela Verizon Vietnam Volcker Rule Voting Securities Wealth Management Wells Fargo Wells Notice Whistleblower Protection Policies Working Groups World Bank Yahoo! Zappos
Feedback? Tell us what you think of the new!