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Significant Swiss ruling handed down on privilege in anti-money laundering investigations

In a recent judgment, the Swiss Federal Tribunal has ruled that, where a financial institution delegates its investigation and reporting obligations under the Swiss Anti-Money Laundering Act ("AMLA") to external counsel,...more

Insider Trading Before the Supreme Court: Dirks and Salman, Part IV

This is the fourth part of an occasional series examining the issues in Salman v. U.S., No. 15-628, which was argued before the Supreme Court on October 5, 2016. Oral argument in Salman highlighted the themes threaded...more

Focus on Tax Controversy and Litigation - The Unprecedented Extraterritorialization of Tax Crimes

In addition to the discussion of the recently proposed U.K. criminal tax legislation, this month’s issue features articles regarding the Tenth Circuit Court decision in McNeill v. United States discussing a managing partner’s...more

How to Respond To Third Party (Non-Government) Civil Subpoenas And Document Requests That Ask For Personal Information

Litigants in a civil dispute often use subpoenas, subpoenas duces tecum, and discovery requests to obtain personal information about individuals who may not be present in the litigation. A request for documents and...more

Insider Trading Before the Supreme Court: Dirks and Salman, Part III

This is the third part of an occasional series examining the issues in Salman v. U.S., No. 15-628, which will be argued before the Supreme Court on October 5, 2016. Petitioner’s Reply Brief centers on two themes: 1) The...more

A Bitter Pill for Ex-Rite Aid GC: Delaware Court Finds His 2015 Suit for Indemnification Untimely

Remember 2002? That year, A Beautiful Mind won best picture, and the University of Maryland won the NCAA basketball tournament. It is also the year that Rite Aid and its former General Counsel, Franklin Brown, began...more

Government Investigations - How to Respond to a Search Warrant: 10 Practical Steps [Video]

In a highly regulated industry such as health care, it’s not uncommon to be the subject of a government investigation. In-house counsel and leadership must be prepared in advance for the possibility of a search warrant being...more

New Sedona Conference Commentary Recommends Restricting the Reach of Document Requests Directed to U.S. Affiliates of Overseas...

Earlier this month, the Sedona Conference issued the final version of its “Commentary on Rule 34 and Rule 45 ‘Possession, Custody, or Control.’” The Commentary recommends adopting the “legal right” test to analyze the...more

Being a Returned Fugitive from Justice May Not Be the Worst Thing

But don’t flee justice! This is not legal advice to you, but I really don’t mean to recommend avoiding problems with federal prosecutors by going to other countries where it’s hard for those prosecutors to catch up with you....more

Second UK Deferred Prosecution Agreement

The Serious Fraud Office has entered into its second-ever Deferred Prosecution Agreement (DPA) with a corporate. Against the backdrop of the first DPA, entered into with Standard Bank late last year, this second DPA provides...more

Supreme Court Update: Mcdonnell V. United States (15-474) And Voisine V. United States (14-10154

Greetings, Court Fans! Though most of the attention coming out of the final decision day of OT15 has focused on Whole Woman's Health v. Hellerstedt (15-274), where a 5-3 majority held that a Texas law regulating abortion...more

Supreme Court Update: Rjr Nabisco, Inc. V. European Community (15-138), Encino Motorcars, Llc V. Navarro (14-415), Kingdomware...

Having cleared some near-blockbusters off the table on Friday (everything's relative this term), we've still got an eight-case backlog to get through before the final decision day of OT15 on Monday. Since we've got an even...more

May Antitrust Bulletin

FTC, DOJ Issue Statement on Preserving Competition in the Defense Industry - On April 12, 2016, the Federal Trade Commission (FTC) and U.S. Department of Justice (DOJ) Antitrust Division issued a joint statement...more

English court compels investigators to disclose information on data protection grounds

The High Court has ruled that a company conducting an investigation may be compelled to give effect to requests for information made under data protection legislation. The case serves as a stark reminder that data protection...more

Mike Duffy Acquittal Sheds Light on Criminal Code Corruption Offences

Last week’s acquittal of Senator Mike Duffy on fraud, corruption and bribery offences shows Ontario courts will not find “corrupt” intent lightly. The decision underscores the importance of subjective criminal intent in...more

The Art of Self Defense

Corporate compliance programs come in all shapes and sizes and apply whether your company is privately owned or publicly traded. These internal controls take the form of accounting and audit procedures,...more

SEC-USAO Charge Former Fund Principal With Fraud

A former managing principal of Blackstone Group, and a partner at Park Hill Group which raises capital for private equity, was charged by the SEC and Manhattan U.S. Attorney’s Office with fraud. The charges are based on...more

Leader of International Pump-and-Dump Sentenced to 216 Months

The man who orchestrated a large international microcap market manipulation involving at least 34 persons was sentenced to serve 216 months in prison after pleading guilty. Harold Gallison, pleaded guilty to two counts of...more

This Week In Securities Litigation

This week the SEC brought six actions tied to the failure of a rapidly growing enterprise to maintain the proper internal controls. The agency also brought two proceedings tied to municipal bond offerings and one insider...more

German Cum/Ex-Trades: Enhanced Risks and Industry-Wide Challenges

The German and international financial industries and their advisors have come under new pressure to investigate so-called 'cum/ex' trades conducted between 2000 and 2012. For many years, tax authorities and criminal...more

SEC Prevails in Payton Insider Trading/Tipping Case

The SEC prevailed in its insider trading/tipping case against two New York brokers were Newman and its tipping standard was a key issue. SEC v. Payton, Civil Action No. 14 civ 4644 (S.D.N.Y.). On Monday a jury in New York...more

SEC Partially Settles “Portfolio Manager” Insider Trading Case

The SEC partially settled what is perhaps one of its more unusual insider trading cases. It involved defendants who posed as portfolio managers who then induced investment bankers to entrust them which inside information that...more

Effort to Meet Earnings Target Yields SEC – DOJ Fraud Charges

The Commission has been tried to make accounting and financial fraud issues a key focus at least since the creation of the financial fraud task force two years ago. Last week the agency brought an action against Monsanto...more

Toward More Effective SEC and DOJ Remedies

Since the market crisis there has been a continuing outcry about holding senior corporate executives responsible. From Capitol Hill to citizens across the land there has been a continuous demand for some kind of Judge Roy...more

SEC-USAO Bring Insider Trading Case That is “Newman-Proof”

When anyone discusses insider trading these days Newman invariably becomes a key topic. Prosecutors decry the decision and its tipping standard. Little doubt why. It has been offered as a defense in innumerable cases. A...more

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