Business Organization, Criminal Law, Administrative Law

Looking Ahead to Washington State’s Legalized Marijuana Marketplace [Video]

by LXBN on 1/24/2013

On Election Day last year, Washington State voters approved the legalization of marijuana—but there’s still much to be done before we see the environment and marketplace many envision. What will Washington’s legalized...more

Insider Trading Enforcement And Deterrence

by Michael Volkov on 1/16/2013

It is hard to know whether the government’s aggressive enforcement of insider trading laws deters criminals from violating securities laws. One key factor in this equation is the risk of getting caught. The Obama...more

Rolls-Royce Brings in Lord Gold – Is it Thinking Big Enough?

by Thomas Fox on 1/15/2013

In December 2012 the BBC online service reported that Rolls-Royce Motor Cars Limited (Rolls-Royce) was in talks with the UK Serious Fraud Office (SFO) regarding potential allegations of bribery and corruption in Indonesia and...more

The HSBC AML Settlement - Lessons Learned for the AML Compliance Practitioner

by Thomas Fox on 1/14/2013

I recently wrote about banks behaving badly. Currently, Exhibit A in that list is HSBC. In December, 2012, the UK banking giant HSBC agreed to pay a fine of $1.92 billion for its transgressions involving money laundering....more

Nevada Legislature May Prohibit The Establishment of Corporations For “Illicit Purposes”

by Keith Paul Bishop | Allen Matkins Leck Gamble Mallory & Natsis... on 1/14/2013

Nevada’s legislature meets in regular session every other year for 12o consecutive calendar days. Nev. Const. Art. II, § 4 and NRS 218A.078. Although the 77th session does not start until February 4, legislators are already...more

Fu Manchu and the Wal-Mart FCPA Investigation Water Torture

by Thomas Fox on 1/11/2013

Today we celebrate Fu Manchu. No not the facial accouterments but the fictional character who was introduced to the world in a series of novels by British author Sax Rohmer during the first half of the 20th century. He has...more

China’s Antitrust Authority Imposes Fines on Foreign Corporations for the First Time

by Henry Chen | McDermott Will & Emery on 1/7/2013

Recently China’s National Development and Reform Commission (NDRC) imposed an RMB 353 million (USD 56.7 million) penalty against an international price-fixing cartel of LCD manufacturers, the largest the NDRC has ever imposed...more

Recent Decision Provides Helpful Guidance on FCPA's "Wide Net"

by Stephen A. Best, Brian D. Nysenbaum | Brownstein Hyatt Farber Schreck on 12/21/2012

District Court Determines that the SEC Bears the Burden of Negating the 'Facilitating' Payments Exception - On December 11, 2012, in a rare opinion interpreting the U.S. Foreign Corrupt Practices Act ("FCPA"), U.S....more

When A Whistleblower Investigation Turns Criminal

by Mark J. Biros | Proskauer - Whistleblowing & Retaliation on 12/20/2012

The new SEC bounty-hunter regime, the explosion in whistleblower claims, and the increasing severity and complexity of those claims raises the specter of government investigations and criminal sanctions....more

A Year-End Update on the UK Bribery Act

by Raymond Sweigart | Pillsbury Winthrop Shaw Pittman LLP on 12/18/2012

Although 2012 did not bring a major prosecution, it was not without note-worthy events. The UK Serious Fraud Office (SFO), on top of the withdrawal of previous Bribery Act guidance and the publication of new guidelines in...more

JFTC Releases Survey on Corporate Compliance Efforts and Recommends Best Practices

by Jennifer Driscoll-Chippendale | Sheppard Mullin Richter & Hampton LLP on 12/6/2012

On November 28, 2012, the Japan Fair Trade Commission (“JFTC”) published the findings of its 2012 survey of corporate compliance practices based on (i) responses from approximately 879 companies listed on the Tokyo Stock...more

Good News, Bad News and Missed Opportunities on “Successor Liability”

by Michael Volkov on 12/1/2012

The FCPA Guidance contains good news and bad news. When I ask one of my kids which they want to hear first … they inevitably choose bad news first. With that in mind, the FCPA Guidance includes relatively bad news on...more

FCPA Guidance: Déjà Vu All Over Again

by Victoria R. Danta, William H. Devaney | Venable LLP on 11/21/2012

On November 14, 2012, the long-awaited U.S. Department of Justice (“DOJ”) and Securities and Exchange Commission (“SEC”) Foreign Corrupt Practices Act (“FCPA”) guidance (the “Guidance”) was released. Styled “A Resource Guide...more

The Italian Anti–Corruption Reform - Recent News

by Marco De Nadai, Giampaolo Salsi | K&L Gates LLP on 11/19/2012

After a lengthy approval process, on October 31, 2012, the Italian Chamber of Deputies passed a long awaited anti-corruption bill (“Anti-Corruption Law”), aimed at improving transparency in the country’s public sector. The...more

Long-Awaited FCPA Guidance Offers Clarity But Few Revelations

by Morgan Lewis on 11/19/2012

Interagency guide provides a blend of statutory interpretation, case analysis, and practice recommendations for corporations and their advisors but lacks definitive answers to many FCPA questions....more

DOJ and the SEC Issue New FCPA Guidance

by Joseph J. Aronica, Robert H. Dietrick | Duane Morris LLP on 11/15/2012

On November 14, 2012, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) published "A Resource Guide to the U.S. Foreign Corrupt Practices Act." Through the Guide, DOJ and the SEC provide the...more

Compliance Assessments

by Michael Volkov on 11/8/2012

Compliance officers are honest about the strengths and weaknesses of their compliance programs. They are realists and mission-driven. As such, they are always willing to consider and try new ideas and strategies....more

Is Your DBE Performing a Commercially Useful Function? Enforcement Trends in DBE Fraud Cases

by Pepper Hamilton LLP on 11/6/2012

Companies that have been awarded government contracts through a disadvantaged business enterprise (DBE) program or similar program face increasing scrutiny as criminal prosecutions continue to mount and civil penalties...more

You Receive a Subpoena: Now What?

by Michael Volkov on 11/6/2012

Every company dreads a visit from an FBI agent with a grand jury subpoena or a search warrant. I have previously outlined how a company should prepare in advance for a search warrant and what steps to take when the FBI...more

Deferred Prosecution Agreements To Be Adopted in United Kingdom

by Pillsbury Winthrop Shaw Pittman LLP on 10/26/2012

On Tuesday 23 October 2012, UK Justice Minister Damian Green announced government plans after additional public consultations to legislate adoption of U.S.-style deferred prosecution agreements (DPAs) for corporate crime....more

Bribery Act 2010: Revised Policies on Facilitation Payments, Business Expenditure and Corporate Self-Reporting

by Orrick - Structured Finance Group on 10/17/2012

On October 9, the Serious Fraud Office (SFO) issued revised policy statements in respect of facilitation payments, business expenditure (gifts and corporate hospitality) and self-reporting. The changes reflect the SFO’s...more

Risky Interactions: Building a Compliance Record

by Michael Volkov on 10/12/2012

Everyone in the compliance arena is tired of the refrain: document, document, document. It is easy advice but difficult to implement on a consistent basis. It is hard to justify the time and effort needed to document...more

Why Status Matters

by King & Spalding on 10/10/2012

The UK Court of Appeal recently decided that a law firm partner was not a “worker” of the firm. The partner could not, therefore, bring a whistleblowing claim against the firm after she was dismissed from the partnership...more

The Girl Who Played with SEC and FINRA Fire: SEC and FINRA Disciplinary Actions Against In-House Counsel and Chief Compliance...

by Sutherland Asbill & Brennan LLP on 10/8/2012

Originally published in Practical Compliance & Risk Management For The Securities Industry • September–October 2012. “He was sitting in a car with the window rolled down. She ran to the car, poured gasoline through the...more

When to Launch an Internal Investigation

by Michael Volkov on 10/3/2012

Companies face difficult decisions every day. In the last ten years, federal law enforcement investigations have become more frequent. The criminalization of civil or regulatory violations increases risks for companies and...more

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Business Organization › Criminal Law › Administrative Law

Looking Ahead to Washington State’s Legalized Marijuana Marketplace [Video]

Insider Trading Enforcement And Deterrence

Rolls-Royce Brings in Lord Gold – Is it Thinking Big Enough?

The HSBC AML Settlement - Lessons Learned for the AML Compliance Practitioner

Nevada Legislature May Prohibit The Establishment of Corporations For “Illicit Purposes”

Fu Manchu and the Wal-Mart FCPA Investigation Water Torture

China’s Antitrust Authority Imposes Fines on Foreign Corporations for the First Time

Recent Decision Provides Helpful Guidance on FCPA's "Wide Net"

When A Whistleblower Investigation Turns Criminal

A Year-End Update on the UK Bribery Act

JFTC Releases Survey on Corporate Compliance Efforts and Recommends Best Practices

Good News, Bad News and Missed Opportunities on “Successor Liability”

FCPA Guidance: Déjà Vu All Over Again

The Italian Anti–Corruption Reform - Recent News

Long-Awaited FCPA Guidance Offers Clarity But Few Revelations

DOJ and the SEC Issue New FCPA Guidance

Compliance Assessments

Is Your DBE Performing a Commercially Useful Function? Enforcement Trends in DBE Fraud Cases

You Receive a Subpoena: Now What?

Deferred Prosecution Agreements To Be Adopted in United Kingdom

Bribery Act 2010: Revised Policies on Facilitation Payments, Business Expenditure and Corporate Self-Reporting

Risky Interactions: Building a Compliance Record

Why Status Matters

The Girl Who Played with SEC and FINRA Fire: SEC and FINRA Disciplinary Actions Against In-House Counsel and Chief Compliance...

When to Launch an Internal Investigation

Looking Ahead to Washington State’s Legalized Marijuana Marketplace [Video]

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