Securities Law

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News & Analysis as of May 23, 2013

Wager, Insurance, Bucketing or Swap?

by Keith Paul Bishop | Allen Matkins Leck Gamble Mallory & Natsis... on 3/5/2013

In yesterday’s post, I mentioned Professor Joan Heminway’s recent essay on crowdfunding. She notes that some crowd funding arrangements may “may look less like investment instruments commonly known as common stock or...more

DOJ Brings Civil Fraud Action Against S&P

by Orrick - Structured Finance Group on 2/11/2013

On February 4, the Department of Justice filed a complaint in the Central District of California against two Standard & Poor’s entities in connection with credit ratings S&P provided for certain RMBS and CDOs....more

The Allianz FCPA Enforcement Action – What the Compliance Practitioner Needs to Know

by Thomas Fox on 1/2/2013

Who is your favorite character from the Iliad? Is it Agamemnon the king who brings the Greek Armada to Troy for his brother’s honor; perhaps Ajax the mountain of a man who is the most loyal Greek warrior; how about Achilles...more

The FSA Bares its Teeth: Be Aware of International Enforcement Regimes

by Thomas Fox on 7/22/2011

While many companies here in the US complain about the enforcement of the Foreign Corrupt Practices Act (FCPA), and are actively seeking to soften its enforcement by lobbying Congress to amend the FCPA, just imagine how they...more

Customer Due Diligence - CDD - as an Instrument For Combating Financial Crimes in Nigeria

by Jide Akinsoto on 10/9/2009

The essay in exposing the damage caused by money laundering at national and global levels, highlights the importance of customer due diligence (CDD), an anti money laundering (AML) measure, in tackling financial crimes like...more