Securities Finance & Banking Criminal Law

SEC Enforcement Actions Insider Trading Criminal Prosecution DOJ Securities Fraud FCPA Compliance Fraud Enforcement CFTC UK Popular Bribery White Collar Crimes Securities US v Newman Illegal Tipping Financial Conduct Authority (FCA) FINRA Hedge Funds Personal Benefit Anti-Corruption Material Nonpublic Information Deferred Prosecution Agreements EU Investment Adviser Anti-Money Laundering Broker-Dealer Misappropriation Money Laundering Banks Chief Compliance Officers SCOTUS FinCEN Libor Whistleblowers Dodd-Frank Securities Exchange Act Wire Fraud Indictments Market Manipulation Spoofing China Corruption Investment Funds Internal Investigations Portfolio Managers Securities Litigation Serious Fraud Office Bank Secrecy Act Banking Sector Bitcoin Conflicts of Interest Criminal Conspiracy Ponzi Scheme Rule 10b-5 Virtual Currency Audits Australia Confidential Information Financial Institutions Offering Fraud US v Salman Price Manipulation Securities Violations Convictions Disgorgement False Statements Hong Kong Internal Controls Investigations Mary Jo White Non-Prosecution Agreements Swaps Tippees UK Bribery Act Appeals C-Suite Executives Ethics European Securities and Markets Authority (ESMA) JPMorgan Chase Reporting Requirements Sanctions Suspicious Activity Reports (SARs) Administrative Hearings Breach of Duty Conspiracies Corporate Governance Dirks v SEC Federal Reserve Financial Markets Government Investigations Guilty Pleas Misrepresentation Municipal Bonds Risk Management Section 10(b) Self-Reporting Sentencing Statute of Limitations Tippers Anti-Bribery Civil Monetary Penalty Cooperation False Claims Act (FCA) FBI Investors Market Abuse OCC PCAOB Risk Assessment RMBS Settlement SFO Shareholders U.S. Treasury Unregistered Securities Acquittals Bank Fraud Barclays Corporate Counsel Cybersecurity Dell Deutsche Bank Due Diligence Federal Sentencing Guidelines Financial Regulatory Reform Individual Accountability Mail Fraud Morgan Stanley Mortgages Non-Public Information OFAC Personal Liability Strategic Enforcement Plan Unregistered Brokers Yates Memorandum Asset Management Books & Records Brokers Class Action Collateralized Debt Obligations Criminal Convictions EB-5 Extraterritoriality Rules FDIC Federal Pilot Programs Fiduciary Duty Foreign Nationals JOBS Act Judge Rakoff Kickbacks MiFID II Nvidia Private Equity Pump and Dump Stocks Tax Evasion Canada CFPB CME Commodities Corporate Crimes CPO Criminal Investigations Crowdfunding Declination Disclosure Requirements Disruptive Trading Practices Fines Foreign Banks Foreign Official FSMA Fund Managers Futures High Frequency Trading Investment Fraud IRS Meals-Gifts-and Entertainment Rules Mens Rea Mortgage-Backed Securities NFA Obstruction of Justice Penalties Personal Jurisdiction Prudential Regulation Authority Securities Act of 1933 Security-Based Swaps Terrorism Funding Algorithmic Trading Asset Freeze Attorney-Client Privilege Bank of America Basel Committee Best Management Practices Block Trades Blockchain Bonds Citigroup Corporate Fraud Corporate Misconduct Corporate Officers Dark Pool Derivatives Economic Sanctions Email Evidence Export Controls Extradition FCPA Resource Guide Financial Crimes Financial Fraud Financial Services Authority Financial Services Industry FIRREA Forfeiture Hong Kong Securities and Futures Commission (HKSFC) HSBC Investment Advisers Act of 1940 Investment Management Minimum Contacts Oil & Gas Patriot Act Pharmaceutical Industry Proposed Regulation RBS Remediation RICO Rule 10(b) Russia Sarbanes-Oxley Shell Corporations Siemens UBS Volcker Rule Voluntary Disclosure Wells Fargo Whistleblower Awards Admissions Akamai Technologies Alstom AML/CFT Anti-Retaliation Provisions Arbitration Attorney Generals Avon Bank Holding Company Bank of New York (BNY) Mellon Benchmark Pricing Beneficial Owner Bernie Madoff Board of Directors Capital Gains Capital Markets Cherry Picking Clawbacks Commodities Exchange Act Commodity Pool Conflict Mineral Rules Corporate Culture Criminal Penalties Criminal Sanctions Cross-Border Currency Transaction Reports (CTR) Custody Rule Customer Due Diligence (CDD) Customer Identification Program (CIP) Cyber Attacks Department of Financial Services Derivatives Clearing Organizations Dismissals European Banking Authority FATCA FATF Fifth Amendment Financial Crisis Financial Instruments Foreign Investment Foreign Subsidiaries Forex Frozen Assets Government Officials Hackers Investment Firms Iran Sanctions Janus Capital Group Japan Jury Verdicts Kokesh v SEC Loans Memorandum of Understanding Motion to Dismiss Nasdaq No-Action Relief OECD Petrobras Public Comment Raj Rajaratnam Rating Agencies Recordkeeping Requirements Registered Investment Advisors Regulatory Standards Risk Mitigation Scams Short Sales Split of Authority State-Owned Enterprises Stress Tests Tender Offers Terrorist Financing Regulations Trust Preferred Securities Trustees UK Brexit Ukraine Venezuela Waivers Whistleblower Protection Policies Wiretapping Administrative Proceedings Aiding and Abetting Anonymity Arms Export Control Act Attorney's Fees Auditors Bad Actors BaFin Bank Holding Company Act Banking Crisis BHP Billiton Big Law BlackRock Brazil BSA/AML Burden of Proof Business Continuity Plans Capital Requirements Certiorari Citibank Civil Forfeiture Code of Conduct Commodity Futures Contracts Cooperation Initiative Corporate Liability Covered Financial Institutions Credit Ratings Credit Suisse Criminal Liability Cross-Border Transactions CTA Currency Exchange Data Breach Data Collection Data Protection Data Security Debt Securities DHS Direct Access Partners Disciplinary Proceedings Electronic Blue Sheets EMIR Employer Liability Issues EU Market Abuse Regulation (EU MAR) European Commission Excessive Fees Exchange-Traded Products Executive Compensation Facilitation Payments False Advertising FCMs Federal Prosecutors Fee-Shifting Final Rules Financial Reporting Financial Statements FinTech Flash Crash Foreign Exchanges Foreign Jurisdictions Form 10-K Fourth Amendment GAAP Gabelli v SEC Gambling GAO Germany GlaxoSmithKline Hiring & Firing Identity Theft Income Taxes Industry Examinations Inspections Insurance Industry Intent IPO ISDA Jury Instructions Jury Trial Justice Scalia KPMG Latin America Legal Entities Liquidity Liquidity Coverage Ratio London Whale Lying Magyar Telekom Mandatory Victim's Restitution Act Margin Calls Margin Requirements Market Participants Martin Shkreli Martoma Material Misstatements Medicaid Member State Merrill Lynch MiFID Misleading Statements Money Services Business Money Transfer Money Transmitter Morrison v National Australia Bank Mortgage Lenders Multinationals Municipal Securities Market Mutual Funds Neither Admit Nor Deny Settlements New Legislation New Regulations No-Action Letters Nortek Novartis NPRM OCIE Oppenheimer & Co. Permanent Injunctions Petition for Writ of Certiorari Price-Fixing Private Funds Private Placements Professional Liability Proposed Amendments Proposed Legislation Public Disclosure Public Officials Qui Tam Quid Pro Quo Rabobank Rare Earth Metals Recidivism Red Notices Registration Regulation SHO Regulatory Agenda REIT Residential Capital LLC Restitution Retailers Reversal Risk-Based Approaches Rule 506 Offerings S&P SAC Capital Scienter Sealed Records SEC v Straub Securities Traders Senate Confirmation Hearings Settlement Agreements Shareholder Litigation Silk Road Sons And Daughters South Korea Sports Subprime Mortgages Subsidiaries Swap Dealers Tax Refunds Teva Pharmaceuticals Third-Party Risk Third-Party Service Provider Trade Market Abuse Trade Secrets Transparency Trump Administration Uber Underwriting Visas Volkswagen Wal-Mart Wall Street Warrantless Searches Willful Misconduct 10b5-1 Plans Absolute Privilege Abuse of Power Accomplice Liability Accounting Controls Acquisitions Actual or Constructive Knowledge Administrative Appointments Administrative Authority Advertising Advisory Opinions Aerospace Agency Deference Aggregation Rules AIFM AIFMD AIFs AIM Aircraft Sales Ally Financial Inc Alternative Investment Funds Alternative Trading Systems Amended Legislation Amended Regulation AML-CTF Analytics Anheuser-Busch Annuities Annunzio-Wylie Anti-Money Laundering Act Anti-Terrorism Financing Antitrust Division Antitrust Investigations Argentina Arrest Artificial Impairment Asia Asia Pacific Asset Valuations Athletes Attorney Malpractice Australian Securities and Investments Commission Auto Body Shop Auto Insurance Automated Systems Automotive Industry Bank Fraud Act Bank of England Barack Obama BATS Exchange Benchmarks Bid Rigging Bids Billable Hours Bio-Rad Laboratories Biofuel BitLicense BizJet Bristol-Myers Squibb Broken Windows Broker Commissions Brokerage Accounts Brokered Deposits BRRD Business Conduct Standards Bylaws Capital Formation Capital Losses Capital One Carbon Emissions Cartels Casey Anthony Causation CBOE CEA Cease and Desist Orders CEOs Certifications CFDA CFIUS CFOs CFPOA Chapter 7 Chevron Deference Choke Point CIP Claim Construction Class Certification Clear Error Standard Clearing Members CMS Collateral Bars Collusion Color of Right Comment Period Commercial Bankruptcy Commerzbank Commodities Traders Common-Interest Privilege Community Reinvestment Act Compelled Testimony Complex Litigation Compliance Costs Conflicts of Laws Congressional Committees Congressional Intent Congressional Investigations & Hearings Consent Order Consideration Consumer Credit Protection Consumer Lenders Controlled Substances Cooperation Agreement COOs Corporate Criminal Fines Corporate Executives Corporate Fines Corporate Gifts Corporate Issuers Corporate Taxes Corporate Veil COSO Cost Allocation Counter-Terrorist Cramdown CRD IV Directive Crime Victims Criminal Defense Criminal Procedure Criminal Records Crisis Management CSBS CSRC Customer Funds Protection Cyber Crimes Cyber Incident Reporting Cyber Threats Cyberforensics D&O Insurance DaimlerAG Damages Data Privacy De Minimis Claims De Novo Standard of Review Deadlines Debt Financing Defense Strategies Delaware General Corporation Law Deloitte Demand Futility Deposit Advances Derivative Suit Destruction of Evidence Diebold Inc Digital Assets Directors Disclosure Discussion Draft Disqualification Distribution Rules Dividends Divorce DMO Documentation DOL Due Process E-Commerce EB-5 Regional Centers EBA EEA EFRP EFTs Egypt Election Results Electronics Elizabeth Warren Embezzlement Emissions Trading System End-Users Energy Exploration Energy Market Energy Sector Enforcement Authority Enron Equal Protection Equity Markets Eric Holder ERISA Ernst & Young ETFs EU Directive EURIBOR Examiners Exemptions Exports Extensions Extortion Facebook Failure To Disclose Fair Lending Fake News Falsified Documents Fantasy Sports FATCA Timeline FDA Federal Budget Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 Federal Contractors Federal Election Commission (FEC) Federal Jurisdiction Federal Rules of Civil Procedure Fédération Internationale de Football Association (FIFA) Fees FERC FHFA Financial CHOICE Act Financial Products Financial Promotions Financial Restatements Financial Sector Financial Services Act Firearms First Amendment First Derivative Traders Fishing Industry Fixing America’s Surface Transportation Act (FAST Act) FLIR System Fokker Football Foreign Affiliates Foreign Currency Foreign Defendants Foreign Direct Investment Foreign Financial Accounts Foreign Securities Forensic Accounting Forgery Form SD Former Employee Forum Selection Clause France Fraud-on-the-Market Fraudulent Charges Fraudulent Concealment Fraudulent Inducement Fraudulent Wire Transfers FRB FSA FSOC FTC Fund Transfer Controls General Solicitation George Canellos Global Dealmaking Goldman Sachs Goodyear Governor Cuomo Governor McDonnell Grand Juries Grand Theft Green Cards Guaranteed Introducing Brokers Guarantors Guidance Update Gun Laws Habeas Corpus Haiti Health Net Healthcare Fraud Hedging Hewlett-Packard Hillary Clinton Hilton Hitachi HKEx HM Treasury Hobbs Act Hong Kong Stock Exchange HUD Human Resources Professionals IBM ICE Illegal Imports Illegal Trading Immigrant Investment Visas Immigrant Investor Program Immigrants Incentives Independent Counsel India Inducement Information Security Information Sharing Infrastructure Injunctive Relief Insider Information Insolvency Intent to Cancel Interest Rate Adjustments International Litigation Internet of Things Interstate Commerce Investment Advisory Agreements Investment Banks Investment Companies Investment Portfolios Investment Schemes Investor Protection ISDAfix ISS ITAR iTraxx CDS indices Jamie Dimon Job Creation Johnson & Johnson Joint Venture Jurisdiction KBR (formerly Kellogg Brown & Root) Know Your Customers Kuwait Law Enforcement Layering Leaked Information Legal Advice Privilege Legal Perspectives Legislative Agendas Lehman Brothers Leidos Inc v Indiana Public Retirement System Leverage Ratio Liability Insurance Liquidation Listing Standards Major Swap Participants Malta Mandatory Clearing Requirements Marital Assets Marital Communications Privilege Market Access Rule Markups Mass Shootings Match Fixing Materiality McDonnell v US McGraw Hill Medical Devices Medicare Mergers MetLife MF Global Micro Entity Status MiFIR Mineral Leases Mining MLD4 Money Market Funds Monsanto Moody's MSRB Municipal Advisers Municipal Employees Municipalities NAV NCUA Negligent Misrepresentation Negotiations NEP Net Investment Income New Guidance NHL NIST Non-GAAP Financial Measures Non-Resident Aliens NSA NYDFS NYSE Ocasio v United States Offering Statements Offerings Official Act Offshore Companies Olympics Omnicare Online Gaming Ontario Securities Commission (OSC) Operation Broken Gate Opinion Letter Opt-Outs Over-the-Counter Sales Panama Papers Patent Litigation Patents Pay-To-Play Payday Loans Penny Stocks Pension Funds Personal Property Personally Identifiable Information Petition For Rehearing Pharmaceutical Patents Phishing Scams Physician Medicare Reimbursements Plea Agreements Policies and Procedures Political Appointments Political Contributions Political Corruption Portfolio Companies Position Limits Predictive Analytics Prejudgment Interest Prepaid Payment Products Presidential Appointments PricewaterhouseCoopers Prison Private Property Private Utility Privileged Documents Probable Cause Proceeds of Crime Act 2002 (POCA) Professional Misconduct Professional Negligence Profits Promissory Notes Proof of Loss Prospectus Provincial Capital Markets Act Proxy Season Proxy Statements Prudential Prudential Standards PSC Amendment Regulations Public Corruption Public Offerings Publicly-Traded Companies Pyramid Schemes Qualcomm Qualified Mortgage Rule Rajat Gupta Ralph Lauren Ranieri Partners Ransomware Ratings Record Retention Red Flags Rule Registration Requirement Registration Statement Regulation Regulation AT Regulation FD Regulation MAR Regulation S-P Related Parties Remedies REMIT Repeal Request For Information Reserve Resignation RESPA Responsible Corporate Officer Doctrine Retaliation Retirement Plan Retroactive Application Right to Privacy Ripple Risk Alert Risk Retention RMB Bonds Rolls-Royce Royal Canadian Mounted Police Rule 11 Rule of Lenity Rulemaking Process Sales Sanction Suspensions Sanction Violations SDN List SEC v Citigroup SEC v Sharef Section 10(b)-5 Section 17(a) Securities Act Securities Regulation Security Risk Assessments SEFs Self-Dealing Self-Disclosure Requirements Self-Regulatory Organizations Senior Managers Senior Managers Insurers Regime (SMIR) Sentencing Enhancements Serbia Shadow Banking Shareholder Proposals Shareholder Rights Shaw v United States Shell Oil Short Selling SIFIs SIFMA Smart Contracts SMEs Soccer Social Media Solar Energy Sovereign Debt