The Community Reinvestment Act (CRA): Recap and What to Expect in 2014
Polsinelli Podcast - The State of Bank Deals in 2014
Thomson Reuters Session 2: Investment Management, Hedge Funds and Registered Mutual Funds: What's Happening Now?
Thomson Reuters Session 1: Investment Management, Hedge Funds and Registered Mutual Funds: What's Happening Now?
Not Dead Yet? How BigLaw's Best Firms Are Finding Growth
The FCPA Compliance and Ethics Report-Episode 66, Visit with Virna De Palma from TRACE
Did the IRS Just Help or Hurt the Bitcoin Economy?
Legal Tech Startups: Separating Hype from Opportunity
Polsinelli Podcast - Claims Trading: Opportunity or Hazard?
FCPA Compliance and Ethics Report-Episode 43, Interview with Neil Swidey, author of Trapped Under the Sea
FCPA Compliance and Ethics Report-Episode 42, Interview with Patrick Taylor of Oversight Systems on Transaction Monitoring
Zimmermann: Dewey Charges Send 'Warning' To Struggling Law Firms
New Manager Forum Panel III – Post-launch Matters
New Manager Forum Panel II – Launch Issues
New Manager Forum Panel I - Critical Pre-launch Considerations
Highlights from the Oral Argument in Halliburton v. Erica P. John Fund
Episode 41-Interview with John Champion, leadership lessons from Captain Kirk
FCPA Compliance and Ethics Report-Episode 40, Interview with Adam Turteltaub
FCPA Compliance and Ethics Report-Episode 3-Interview with Marie Patterson, Vice President of Marketing for Hiperos
In this issue:
- Regulatory Capital
- Financial Services
- Financial Crime
- Excerpt from Derivatives:
European Commission Consults on Definition...more
On April 4, 2014, Bloomberg reported that the Las Vegas Sands Corp. (“Sands”) has increased its scrutiny of casino junket operators in Macau. The decision comes as casinos seek to meet the increased demands of federal...more
On March 31, in an enforcement action with potential implications for a range of financial service providers, the New York State Department of Financial Services (DFS) announced that an insurance holding company agreed to pay...more
Come annunciato, l'articolo 1 del decreto legge 28 gennaio 2014, n. 4 (pubblicato in G.U. n. 23 del 29 gennaio 2014 – di seguito "Decreto") in materia di "Voluntary Disclosure" o "Collaborazione Volontaria" per il rientro dei...more
In the wake of the national financial crisis, both the U.S. Department of Justice (“DOJ”) and the U.S. Securities and Exchange Commission (“SEC”) publicly committed themselves to enhanced enforcement of federal financial laws...more
On March 20th and 21st, U.S. regulators, practioners, and other anti-corruption industry professionals gathered in Washington, D.C. for the Second Annual Global Anti-Corruption Congress. The Congress featured speakers,...more
In back-to-back keynote addresses Monday to the Securities & Financial Markets Association’s annual Compliance & Legal meeting, SEC-Chair Mary Jo White and Southern District of New York US Attorney Preet Bharara renewed the...more
1. THE ILVA CASE -
By decision filed on 24 January 2014, the Sixth Section of the Italian Supreme Court has passed judgement on the age-old quaestio concerning the crime of conspiracy as predicate offence pursuant to...more
Deferred prosecution agreements (DPAs) are now available in the United Kingdom as a means of resolving criminal investigations of certain serious economic crimes other than by guilty plea, trial or...more
As we have previously reported, despite the growing number of States that have authorized the use of marijuana in various forms, the federal government has continued to crack down on dispensaries. In addition to direct...more
A proposed amendment to the UK Bribery Act would give the SFO greater power to prosecute corporates for financial crimes committed by their employees.
The head of the UK’s Serious Fraud Office (SFO), David Green,...more
The Financial Crimes Enforcement Network (“FinCEN”) issued guidance (the “Guidance”) to clarify FinCEN’s expectations as to how financial institutions (“FIs” and each an “FI”) will meet their compliance requirements under the...more
DPAs are agreements between prosecutors and corporate organisations that charges will be presented but not pursued, provided the organisation complies with a set of agreed terms and conditions. Those terms and conditions...more
On February 14, 2014, the Financial Crimes Enforcement Network (“FinCEN”) issued its guidance “BSA Expectations Regarding Marijuana-Related Businesses” in an effort to clarify Bank Secrecy Act (“BSA”) expectations for...more
Last week, I wrote about a bill, AB 129, currently pending in the California legislature that would amend California Corporations Code Section 107. As I had pointed out in an even earlier post last May, that statute...more
As noted in our previous Alert in September 2013, the UK Crime and Courts Act 2013 has now come into effect this month making deferred prosecution agreements (DPAs) available to the Director of the Serious Fraud Office (SFO)...more
On Monday, January 27, 2013, Charlie Shrem, the 24 year old CEO of BitInstant and Vice Chairman of the Bitcoin Foundation, was arrested for his role operating a Bitcoin exchange service popular among users of Silk Road....more
U.S. regulators signaled their intention to continue aggressive enforcement of anti-money laundering (AML) laws by using the Bank Secrecy Act — a law generally used to target large banks and financial institutions — to charge...more
A resurgence in anti-money laundering (AML) enforcement over the last few years reflects a renewed post-crisis focus on compliance with the regulatory requirements of the Bank Secrecy Act (BSA) imposed on banks (AML...more
Recent actions by the Serious Fraud Office and Financial Conduct Authority indicate an increased focus on addressing allegations of bribery and corruption.
It is clear that, in the wake of the Bribery Act 2010, the UK...more
Over the last two years, enforcement of the Foreign Corrupt Practices Act (“FCPA”) has remained a priority of the U.S. Department of Justice (“DOJ”) and Securities and Exchange Commission (“SEC”). That emphasis is likely to...more
I always say that the government does not enforce the laws in secret – they tell business what they plan to do and then they carry it out. The announcement of an enforcement initiative is always followed by a series of press...more
In this issue:
- Judges Raise Concerns Regarding Conflict Minerals Rule at Appeal Hearing
- SEC Division of Corporation Finance Issues Five Additional C&DIs Relating to “Bad Actor” Rule
- CFTC Requests...more
In late November, J.P. Morgan, the Justice Department and other agencies reached a $13 billion settlement over practices involving mortgage securities. Three days later, J.P. Morgan’s General Counsel, Stephen Cutler,...more
Beginning in February 2014, the agreements may be used as a sentencing tool for corporate bribery, fraud, and other economic crimes.
Under the UK Crime and Courts Act 2013, which received royal assent in April,...more
Find a Finance & Banking Author »
Back to Top