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D.C. Appeals Court Upholds Privilege For Internal Investigation Preceding False Claims Act Litigation

The KBR decision should not be interpreted as a sign that internal investigations of regulatory compliance are privileged per se. Companies should keep the following principles in mind when conducting any internal...more

Québec Court’s Decision on Insider Tipping Restrictions

On April 7, 2014, the Bureau de décision et de révision (BDR), which is the administrative tribunal that has jurisdiction under the Québec Securities Act, dismissed a claim by the Autorité des marchés financiers (AMF) for an...more

The General Motors Scandal: Risky Issues

The GM scandal is unfolding and provides important reminders for everyone involved in compliance and how to respond to a corporate scandal....more

How to Avoid Corruption Risks in China [Video]

The recent headlines on China's expanding anti-corruption investigation and enforcement action is a significant event in global anti-corruption enforcement. For companies operating in China, the risks have now increased...more

What's the One Thing Missing From Your Corporate Compliance Program?

What's the one thing missing from most corporate compliance programs? For a legal perspective, that's the question we put to corporate attorneys writing on JD Supra, asking each to commit to just one essential element...more

Just Who Is A Promoter And Why You May Want To Know

The California General Corporation Law uses, but does not define, the term “promoter”. For example, a promoter can be criminally prosecuted. Corporations Code Section 2251 provides that any promoter “who knowingly and...more

UK SFO Director Provides Guidance on the Bribery Act

SFO’s director’s recent speech outlines enforcement of the Bribery Act and developments related to self-reporting, the possible extension of the corporate offence, and prosecutions. On 24 October, David Green, director...more

Swiss National and Former Energy Executive Criminally Charged Under FCPA

In an illustration of the extraterritorial reach of the Foreign Corrupt Practices Act (FCPA), Alain Riedo, a Swiss citizen and the general manager of Maxwell Technologies S.A. (Maxwell), a Swiss subsidiary of a US public...more

Goldman Ordered to Advance Defense Fees for Former Employee Accused of Stealing Computer Codes

On October 16, 2013, the U.S. District Court for the District of New Jersey, in Aleynikov v. The Goldman Sachs Group, Inc., found that a former vice president and computer programmer was an “officer” of Goldman Sachs & Co.,...more

Update: Crackdown on Casino AML Deficiencies Continues as Caesars Entertainment Corp. becomes subject of FinCEN and DOJ...

On October 21, 2013, Caesars Entertainment Corp. (“Caesars”) announced in its filing with the Securities and Exchange Commission that its subsidiary Desert Palace, Inc. (owner of Caesars Palace) was under investigation for...more

Prosecution Of Frauds And Crimes In The C-Suite: What Can We Learn From These Cases And Trends?

The press, members of Congress, and judges have become increasingly vocal in condemning what they perceive to be inadequate criminal prosecution of executives responsible for corporate crimes. In response, U.S. Department of...more

Corporate Compliance Policies – Interview with Bridget Rohde, Member, Mintz Levin [Video]

Attorney Bridget Rohde, Member of Mintz Levin's Litigation Practice, discusses the importance of comprehensive corporate compliance policies....more

INVESTIGATIVE REPORT FOR THE MASSACHUSETTS GAMING COMMISSION: APPLICANT: Sterling Suffolk Racecourse, LLC PRINCIPALS: Joseph...

Executive Summary: On January 15, 2013, Sterling Suffolk Racecourse, LLC (“Applicant” or “SSR”) filed an application for a Category 1 gaming license with the Massachusetts Gaming Commission (“Commission”). The proposed...more

Nevada Businessman Sentenced to Nine Years in Prison

Multiple outlets are reporting that on October 15, 2013, William Reed, a Nevada businessman, was sentenced to nine years in federal prison after pleading guilty to conspiracy to defraud the United States, tax evasion, and...more

What to Do When the Government Comes Calling – Interview with Peter Chavkin, Member, Mintz Levin [Video]

Attorney Peter Chavkin, Chair of Mintz Levin's White Collar Criminal Defense & Parallel Proceedings and Corporate Compliance & Internal Investigations Practices, discusses the steps individuals and companies should take when...more

Corporate Criminal Liability – Interview with Bridget Rohde, Member, Mintz Levin [Video]

Attorney Bridget Rohde, Member of Mintz Levin's Litigation Practice, discusses corporate criminal liability for the actions of employees and how companies can protect themselves....more

White Collar Watch - September 2013

Contents - FDIC filing more suits against officers and directors of failed financial institutions - Third Circuit upholds 12-year prison sentence for former BigLaw associate - Health care executives...more

The Penalties Applicable to Legal Entities Convicted for Corruption under French Law - Are the Administrative Consequences the...

Under French law, an act of corruption is exclusively subject to criminal liability; there is no administrative liability. Specific rules of administrative laws, however, which provide that a company convicted by a final...more

Read All About It-Newspaper Reporting And FCPA Allegations

One of the avenues rarely discussed for allegations of violations of the Foreign Corrupt Practices Act (FCPA) to work their way to the Department of Justice (DOJ) or Securities and Exchange Commission (SEC) is through good...more

Deferred Prosecution Deals and Sentencing Guidelines Come to the UK: How Will They Work in Bribery and Corruption Cases?

Although the perceived slow pace of investigations and prosecutions by the Serious Fraud Office ("SFO") has come in for a great deal of commentary and criticism, it does appear that the SFO is slowly but surely ramping up its...more

Court Decides Employer Had No Obligation To Pay Employee’s Attorney

Mention indemnification to a corporate lawyer, and you’re like to hear about Section 317 of the Corporations Code, the articles of incorporation and bylaws. But a corporate agent’s indemnification rights are not necessarily...more

A New Era of Canadian Anti-Corruption Enforcement?

This year has been a watershed in terms of Canada’s enforcement of its Corruption of Foreign Public Officials Act (“CFPOA”): • In January 2013, a record fine of CAD 10.35 million (USD 10.27 million) was imposed on...more

News Corp As Corporate Suspect – Between Scylla And Charybdis?

Yesterday I used the lyrics from Emerson, Lake and Palmer’s song Karn Evil No. 9, First Impression, Pt. 2 - “Welcome Back My Friends, To The Show That Never Ends” as an entrée into the topic of the investigation of JP...more

FBI's Mortgage Fraud Report as Prepared by the Financial Crimes Intelligence Unit

The objective of this study is to provide FBI program managers and the general public with relevant data to better understand the threat posed by mortgage fraud. The report was requested by the Financial Crimes Section,...more

Federal Government, Illinois AG Team Up To Bring First TARP Criminal Charges

On August 6, the Special Inspector General for the Troubled Asset Relief Program (TARP), the FDIC Office of Inspector General, and Illinois Attorney General Lisa Madigan announced criminal charges against former members of...more

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