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White Collar Watch - March 2014

In This Issue: - SEC at odds with Siemens over whether whistleblower protections extend to employees who report wrongdoing directly to their companies - Fourth Circuit decision tolling False Claims Act statute...more

Madoff Verdicts Show the Risks of Staying Silent

After the revelation in 2008 that Bernard Madoff’s “wealth management” business was actually a colossal Ponzi scheme, Madoff’s victims and the public immediately asked: “Who else in the Madoff organization knew and, if they...more

What’s New in Anticorruption Enforcement

According to the New York Times, the Securities and Exchange Commission (“SEC”) is investigating potential bribery issues stemming from alleged abuses in JPMorgan’s “Sons and Daughters” hiring program in China. As reported in...more

Of Princelings And Princess-lings – Does Their Employment Have Corrupt Intent?

There was an excellent article this weekend in the Financial Times (FT), entitled “Finance: Plugged Into the Party”, where reporters Henry Sender and Tom Mitchell explored the hiring of sons and daughters of Chinese...more

Corporate and Financial Weekly Digest - October 25, 2013

In this issue: - SEC Proposes New Rules for Crowdfunding Exemption - CFTC Provides Clarification for SD and MSP Employees Acting in Clerical or Ministerial Capacities - CFTC Requests Public Comment on MAT...more

SEC Announces Additional Whistleblower Award Based on Assets Seized by Justice Department

After awarding the second-ever whistleblower bounty award pursuant to Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) in connection with SEC v. Andrey C. Hicks and Locust Offshore...more

Two Years Later: What We Know About Dodd-Frank's Whistleblower Provisions

In the wake of a number of highly publicized corporate scandals, many of which involved both SEC enforcement and criminal prosecution (WorldCom, Adelphia, Tyco and Enron, among others), Congress enacted the Dodd-Frank Wall...more

Compliance Communicator: July 2013

Memo to Managers - Insider Trading Misconception - A common misconception among employees is that insider trading is only an issue for senior executives, because employees at lower levels don’t have access to...more

Federal Authorities Announce More Charges In Broker-Dealer Foreign Bribery Case

On June 12, the DOJ and the SEC announced additional charges in a previously announced case against employees of a U.S. broker-dealer related to an alleged “massive international bribery scheme.” ...more

The Floodgates are Open: Second Whistleblower Award Sparks Speculation Over What's Next

Last week, the Securities and Exchange Commission (SEC) issued an order awarding three whistleblower awards to tipsters who helped the SEC with its enforcement action against Locust Offshore Management, LLC and its CEO Andrey...more

Anti-Corruption High-Risk Audits

The Justice Department and the SEC should be credited with promoting new compliance strategies and best practices. Whatever you may think about the DOJ/SEC FCPA enforcement program, they have pushed businesses to enhance...more

Using the Privilege: Fifth Amendment Fundamentals for Corporations

Most in-house lawyers, if they're fortunate, haven't bumped up against the Fifth Amendment and its related issues since the bar exam. After all, the so-called "nickel" typically arises solely in the criminal context, and...more

Government Issues New FCPA Guidance: $12,000 Birthday Party Not the Way to Go

Employers concerned about their organizations’ FCPA compliance have a new, free resource available to them. Recently, the DOJ and the SEC published a long-awaited FCPA guidance for employers. The comprehensive guidance...more

Breaking Bad: When A Good Employee Goes Bad?

No matter how strong a company’s compliance program, there is always a risk. No matter how many times employees are trained, complete certifications and are reminded of their FCPA compliance obligations, there is always a...more

Third Circuit Reinforces Limits to Directors' Exposure for Misconduct by Corporate Employees

In Belmont v. MB Investment Partners, Inc., No. 12-1580, 2013 WL 646344 (3d Cir. Feb. 22, 2013), the United States Court of Appeals for the Third Circuit held that a mere failure by corporate directors to oversee enforcement...more

Siemens Whistleblower Complaint Underscores Need for "Top-Down" Anti-Corruption Compliance

In 2008, Siemens AG paid $800 million to settle charges that it had violated the Foreign Corrupt Practices Act, which generally prohibits bribery of foreign officials for the purpose of obtaining or retaining business. That...more

Occupational fraud involves a personal breach of trust

Ed. Note-today we are pleased to begin a three part guest series from our colleague Mary Shaddock Jones. My husband, Brian R. Jones, is a CPA, a Certified Fraud Examiner and a member of the Association of Certified...more

Federal Criminal Lawyer Douglas McNabb of McNabb Associates - News On Current Federal Criminal Cases

October 26, 2012 - The Federal Crimes Watch Daily The Federal Crimes Watch Daily is a daily newspaper that discusses current federal criminal issues written by a federal criminal defense attorney. Topics Include:...more

October 2012: White Collar Litigation Update

In This Issue: - "Second Circuit Clarifies “Substantial Assistance” Standard for Aiding and Abetting Liability in SEC Enforcement Actions" - "NLRB Prohibits Employers from Requesting that Employees Keep Silent...more

Insider Trading: What Happens When the Victim Says That There Was No Crime?

Under the “misappropriation theory” of insider trading, a person violates the securities laws by breaching a fiduciary duty to keep information confidential. But what happens when the entity to whom the fiduciary duty was...more

Legal Alert: High Profile Allegations of FCPA Violations Require Compliance Assessment

Executive Summary: The United States Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) are aggressively pursuing allegations of violations of the Foreign Corrupt Practices Act (FCPA) against US and...more

When Employees Steal, The SEC May Punish The Company And The CEO

In this week’s issue of Compliance Week, Tammy Whitehouse writes about the SEC’s recent enforcement action against Koss Corporation and Michael J. Koss, its Chief Executive Officer and former Chief Financial Officer....more

Game Changer: New SEC Whistleblower Rules Take Effect (Presentation)

In This Presentation: DODD-FRANK WHISTLEBLOWER LAWS; WHISTLEBLOWER BOUNTY PROVISIONS; ELEMENTS FOR RECEIVING A BOUNTY; WHO MAY BE A WHISTLEBLOWER?; POTENTIAL IMPACT; IMPACT ON INTERNAL COMPLIANCE; EXAMPLE: FOREIGN...more

How to Engage Employees in Compliance

In the September 2011 issue of the Harvard Business Review, in an article entitled “How to Cultivate Engaged Employees”, author Charalambos A. Vlachoutsicos wrote about his experiences in working for a...more

Using HR to Change your Company's Compliance DNA

In his Editor’s View column, in the August issue of Compliance Week, entitled, “Compliance, Collaboration and HR”, Matt Kelly wrote about the interaction of Compliance Departments and Human Resources (HR)....more

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