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SEC Insider Trading Enforcement Actions Criminal Prosecution DOJ Securities Fraud FCPA Compliance Fraud Enforcement CFTC UK Popular Bribery Securities White Collar Crimes US v Newman Illegal Tipping Financial Conduct Authority (FCA) FINRA Hedge Funds Personal Benefit Material Nonpublic Information Anti-Corruption EU Investment Adviser Deferred Prosecution Agreements Anti-Money Laundering Broker-Dealer Chief Compliance Officers Misappropriation SCOTUS Banks Whistleblowers FinCEN Libor Money Laundering Wire Fraud Market Manipulation Securities Exchange Act Dodd-Frank Indictments Investment Funds Spoofing China Corruption Internal Investigations Portfolio Managers Securities Litigation Bank Secrecy Act Serious Fraud Office Banking Sector Conflicts of Interest Ponzi Scheme Australia Confidential Information Criminal Conspiracy Financial Institutions Rule 10b-5 US v Salman Virtual Currency Audits Bitcoin Offering Fraud Price Manipulation Convictions Hong Kong Investigations Mary Jo White Tippees UK Bribery Act C-Suite Executives Disgorgement False Statements Internal Controls JPMorgan Chase Non-Prosecution Agreements Sanctions Swaps Administrative Hearings Appeals Conspiracies Dirks v SEC Ethics European Securities and Markets Authority (ESMA) Federal Reserve Financial Markets Government Investigations Misrepresentation Reporting Requirements Risk Management Securities Violations Self-Reporting Sentencing Tippers Breach of Duty Civil Monetary Penalty Cooperation Corporate Governance False Claims Act (FCA) Guilty Pleas Market Abuse Municipal Bonds OCC PCAOB Risk Assessment Section 10(b) Settlement SFO Suspicious Activity Reports (SARs) U.S. Treasury Anti-Bribery Bank Fraud Corporate Counsel Cybersecurity Dell Deutsche Bank Due Diligence FBI Federal Sentencing Guidelines Individual Accountability Investors Mail Fraud Morgan Stanley Mortgages OFAC Personal Liability RMBS Shareholders Statute of Limitations Strategic Enforcement Plan Unregistered Securities Yates Memorandum Barclays Books & Records Class Action Collateralized Debt Obligations Extraterritoriality Rules FDIC Federal Pilot Programs Fiduciary Duty Financial Regulatory Reform JOBS Act Judge Rakoff Kickbacks Non-Public Information Nvidia Private Equity Pump and Dump Tax Evasion Unregistered Brokers Asset Management Brokers Canada CFPB CME Commodities Corporate Crimes CPO Crowdfunding Disclosure Requirements Disruptive Trading Practices EB-5 Fines Foreign Banks Foreign Nationals Foreign Official FSMA Futures High Frequency Trading 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 Stocks Terrorism Funding Acquittals Algorithmic Trading Attorney-Client Privilege Bank of America Basel Committee Best Management Practices Citigroup Corporate Fraud Corporate Officers Dark Pool Declination Derivatives Economic Sanctions Email Evidence Export Controls FCPA Resource Guide Financial Services Authority FIRREA Forfeiture Fund Managers Hong Kong Securities and Futures Commission (HKSFC) Investment Advisers Act of 1940 MiFID II Minimum Contacts Oil & Gas 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 Asset Freeze Attorney Generals Avon Bank Holding Company Bank of New York (BNY) Mellon Benchmark Pricing Beneficial Owner Bernie Madoff Block Trades Board of Directors Bonds Capital Gains Capital Markets Cherry Picking Clawbacks Commodities Exchange Act Commodity Pool Conflict Mineral Rules Corporate Misconduct Criminal Convictions Criminal Penalties Criminal Sanctions 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 Extradition FATCA FATF Financial Crimes Financial Crisis Foreign Subsidiaries Forex Frozen Assets Government Officials Hackers HSBC Investment Firms Investment Fraud Investment Management Iran Sanctions Janus Capital Group Japan Jury Verdicts Loans Memorandum of Understanding Nasdaq No-Action Relief OECD Patriot Act Petrobras Public Comment Raj Rajaratnam Rating Agencies Recordkeeping Requirements Registered Investment Advisors Regulatory Standards Risk Mitigation Short Sales Split of Authority State-Owned Enterprises Stress Tests Tender Offers Trust Preferred Securities Trustees Venezuela Waivers Whistleblower Protection Policies Wiretapping 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 Blockchain Brazil BSA/AML Business Continuity Plans Capital Requirements Certiorari Code of Conduct Commodity Futures Contracts Corporate Culture Corporate Liability Covered Financial Institutions Credit Ratings Credit Suisse Criminal Investigations Criminal Liability Cross-Border Cross-Border Transactions CTA Currency Exchange Data Breach Data Collection Data Protection Data Security DHS Direct Access Partners 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 Fifth Amendment Final Rules Financial Fraud Financial Instruments Financial Reporting Financial Services Industry Financial Statements Flash Crash Foreign Exchanges Foreign Investment Form 10-K Fourth Amendment 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 Lying Magyar Telekom Mandatory Victim's Restitution Act Margin Calls Market Participants Martin Shkreli Martoma Material Misstatements Medicaid Member State Merrill Lynch Money Services Business Money Transfer Morrison v National Australia Bank Mortgage Lenders Motion to Dismiss 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 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 Scams Scienter Sealed Records SEC v Straub Senate Confirmation Hearings Settlement Agreements Shareholder Litigation Silk Road Sons And Daughters South Korea Sports Subprime Mortgages Subsidiaries Swap Dealers Tax Refunds Terrorist Financing Regulations Teva Pharmaceuticals Third-Party Risk Third-Party Service Provider Trade Market Abuse Trade Secrets Transparency UK Brexit Ukraine 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 Administrative Proceedings Advertising Advisory Opinions Aerospace Agency Deference Aggregation Rules AIFM AIFMD AIFs AIM Aircraft Sales Ally Financial Inc Alternative Investment Funds Alternative Trading Systems 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 Brokered Deposits BRRD Burden of Proof 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 Citibank Claim Construction Class Certification Clear Error Standard Clearing Members Collateral Bars Collusion Color of Right Comment Period Commercial Bankruptcy Commerzbank Common-Interest Privilege Community Reinvestment Act 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 Cooperation Initiative COOs Corporate Criminal Fines Corporate Executives Corporate Fines Corporate Gifts Corporate Issuers Corporate Taxes Corporate Veil 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 Debt Securities Defense Strategies Delaware General Corporation Law Deloitte Demand Futility Deposit Advances Derivative Suit Destruction of Evidence Diebold Inc Digital Assets Directors Disciplinary Proceedings 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 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 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 Products Financial Promotions Financial Restatements Financial Sector Financial Services Act FinTech 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 Jurisdictions Forensic Accounting Forgery Form SD Former Employee Forum Selection Clause Fraud-on-the-Market Fraudulent Charges Fraudulent Concealment Fraudulent Inducement Fraudulent Wire Transfers FRB FSA FSOC FTC Fund Transfer Controls GAAP 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 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 Kokesh v SEC Kuwait Law Enforcement Layering Legal Advice Privilege Legal Perspectives Legislative Agendas Lehman Brothers Leidos Inc v Indiana Public Retirement System Leverage Ratio Liability Insurance Liquidation Listing Standards London Whale Major Swap Participants Malta Mandatory Clearing Requirements Margin 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 MiFID Mineral Leases Mining Misleading Statements MLD4 Money Market Funds Money Transmitter 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 Policies and Procedures Political Appointments Political Contributions Political Corruption Portfolio Companies Position Limits 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 Public Corruption Public Offerings Publicly-Traded Companies Pyramid Schemes Qualcomm Qualified Mortgage Rule Rabobank Rajat Gupta Ralph Lauren Ranieri Partners Ratings Record Retention Red Flags Rule Registration Requirement Registration Statement Regulation Regulation AT Regulation FD Regulation MAR Regulation S-P Related Parties Remedies REMIT Request For Information Reserve Resignation RESPA Responsible Corporate Officer Doctrine Retaliation Retirement Plan Retroactive Application Right to Privacy Ripple Risk Alert Risk Retention 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 Securities Act Securities Regulation Securities Traders 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 Special Committees Stark Law State and Local Government State Farm Fire and Casualty Co v United States ex rel Rigsby State Regulators State Street Statute of Repose Stern v Marshall STOCK Act Stock Markets Stock Options Stock Promoters Stock Trades Stop Order Strike Subordination Subpoenas Successors Summary Judgment Supervision Suppliers Supply Chain Suspensions Suspensions & Debarments Swap Data Repositories
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