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Department of Justice Reprioritizes Asset Seizure in Structuring Cases But Risks Remain

On December 23, 2014, the United States Attorney for the Eastern District of North Carolina filed a Complaint for Forfeiture In Rem seeking to forfeit $107,702.66 belonging to Lyndon McLellan, the owner of L&M Convenient Mart...more

DOJ: Companies Need Not Expend Exorbitant Fees to Get Full Cooperation Credit

During an FCPA panel event, the Chief of the US Department of Justice’s Fraud Section advised companies to conduct “targeted” FCPA investigations, dismissing the suggestion that companies must spend hundreds of millions of...more

DOJ Emphasizes Role of Criminal Prosecution in Addition to Regulatory Enforcement

The U.S. Department of Justice, through the Assistant Attorney General in charge of its Criminal Division, spoke forcefully on Tuesday regarding “the role of criminal law enforcement in prosecuting conduct that may also be...more

UK FCA Focuses Increased Scrutiny on Asset Managers

Regulators across the globe are intensifying their focus on enforcing the regulation of the asset management industry. Over the last twelve months, the global Financial Stability Board, the International Monetary Fund, the US...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

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

Insider Trading Enforcement And Deterrence

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?

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

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”

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

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

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"

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

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

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

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”

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

The Italian Anti–Corruption Reform - Recent News

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

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

Compliance Assessments

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

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?

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

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

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

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