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FinCrimes Update - November 2014 Summary, Volume 1, Issue 9

IN THIS ISSUE: BSA/AML & OFAC | Virtual Currency & Payment Systems | FCPA & Anti-Corruption | Criminal Enforcement. ...more

SEC Files Settled FCPA Charges Against Two Individuals

The SEC filed another settled FCPA action. The proceeding named two individuals as Respondents. It centers on using expensive gifts and travel as bribes. In the Matter of Stephen Timms, Adm. Proc. File No. 3-16281 (November...more

Significant Trends from Recent FCPA Enforcement Actions: The Bio-Rad Case

The FCPA enforcement doomsayers can add another notch to their belt – their predictions and suggestions of “enforcement slow downs,” “significant policy changes,” and other misguided claims can be added to the ash heap of...more

Medical Company Settles FCPA Claims With SEC and DOJ

On November 3, a medical company agreed to pay a total of $55 million to settle DOJ and SEC allegations that the company violated the FCPA in Russia, Thailand, and Vietnam. According to the SEC’s cease-and-desist order,...more

Atlanta Burns – the Bio-Rad FCPA Enforcement Action – Part III

On this date in 1864, the Union Army phase of the destruction of Atlanta began. While most Southerners credit Union General William T. Sherman with the burning of Atlanta, it was, in reality, Confederate General John Bell...more

Cable Company Announces FCPA Internal Investigation Near Completion

Just a month after announcing its internal investigation of possible FCPA violations, news reports indicate that a major cable company’s review will be completed or substantially completed by the first quarter of 2015. ...more

Financial Regulatory Developments Focus - November 2014 #2

In this issue: - Bank Prudential Regulation & Regulatory Capital - Compensation - Consumer Protection - Derivatives - Enforcement - Financial Services - Funds -...more

Gordon Lightfoot, the Edmund Fitzgerald and the Bio-Rad FCPA Settlement, Part I

This month there are two dates that are forever tied together in the annuals of maritime tragedies and great songwriters. November 10 is the 39th anniversary of the sinking of the Great Lakes freighter the SS Edmund...more

This Week In Securities Litigation

This week the SEC and the DOJ filed a settled FCPA action. The disgorgement paid by the issuer put the case at number ten on the list for the largest such amounts paid in an SEC FCPA case....more

Financial Regulatory Developments Focus - November 2014

In this issue: - Bank Prudential Regulation & Regulatory Capital - Bank Structure - Derivatives - Enforcement - Financial Market Infrastructure - Financial Services -...more

SEC – DOJ Resolve FCPA Charges With Bio-Rad Labs

The SEC and the DOJ resolved FCPA charges with California based life science research and clinical diagnostics company Bio-Rad Laboratories, Inc. The charges stem from bribes paid in Russia, Vietnam and Thailand. The company...more

Q&A With Carlton Fields' Seth Joseph

Seth P. Joseph is a shareholder in Carlton Fields Jorden Burt PA's Miami office, focusing his practice on securities and mergers & acquisitions, including both domestic and cross border assignments. He represents corporate...more

Data Privacy and Cyber Security in Hong Kong: The New Enforcement Imperative

Introduction - Cyber security has gained increasing attention in recent years and cyber attacks have become more sophisticated and more frequent. Cyber attacks and other data breaches can affect millions of customers...more

"Hong Kong v. New York: The Competition for Chinese Tech IPOs"

In September 2014, Alibaba completed the largest IPO in history, raising US$25 billion in its New York Stock Exchange (NYSE) offering. In the buildup to the high-profile offering, the Stock Exchange of Hong Kong Limited...more

Securities Litigation Alert: GlaxoSmithKline and Five Executives Convicted of Bribery in China

On Friday, September 19, 2014, a Chinese court found pharmaceutical giant GlaxoSmithKline guilty of bribing doctors and hospitals in order to increase sales of the company’s products in China. Among other things, the company...more

Sanctions Update: European Union imposes further measures in respect of Russia/Ukraine

This morning, the EU published further sanctions to increase the pressure on Russia for its involvement in the Ukraine. The new measures add to the already complex restrictions in place and should be carefully considered....more

FinCrimes Update - July 2014 Summary, Volumn 1, Issue 5

FINCEN PROPOSES CUSTOMER DUE DILIGENCE RULE - On July 30, FinCEN released a proposed rule that would amend BSA regulations to clarify and add customer due diligence (CDD) obligations for banks and other financial...more

Tech Companies, the Congo and Dodd-Frank

The fourth anniversary of the Dodd-Frank Act has prompted renewed discussion over the effectiveness of the legislation. Legislators continue their debate over the Financial Stability Oversight Committee and the Volcker Rule....more

Orrick's Financial Industry Week in Review

Bank of England Launches New Framework to Test for Cyber Vulnerabilities - On June 10, the Bank of England launched a new framework to help identify areas where the financial sector could be vulnerable to sophisticated...more

Red Notice Newsleter

Welcome to the May 2014 edition of Red Notice, a publication of Akin Gump Strauss Hauer & Feld LLP. This month, on the anticorruption front, Avon Products, Inc. (“Avon”) agrees to pay USD $135 million to settle a...more

MoFo Tech - Spring/Summer 2014

In This Issue: - Worn on the Sleeve - Log In - Focus - Critical Mass - Update - Support - First Mover - Datagram - QnA - Reboot - Excerpt from Worn on the Sleeve: Currently estimated at $1.6...more

Privacy & Cybersecurity Update - April 2014

In This Issue: - Decision in Wyndham Case Provides FTC With Significant Victory - SEC Announces Cybersecurity Initiative - Heartbleed Bug Generates Significant Security Concerns - FTC and DOJ Announce Policy...more

SEC Wins Freeze Order Over “Cloud Computing” Pyramid Scheme

The “cloud” is a current focus for investors. There is cloud computing, cloud storage and new firms with cloud services. And the Commission discovered a “cloud” investment program that promised a 100% return in 100 days and...more

Privacy & Cybersecurity Update - March 2014

In This Issue: - EU Parliament Cements Position on Privacy Protection Reform - EU Parliament Passes Cybersecurity Directive - SEC Holds Roundtable on Cybersecurity - EU and APEC Introduce Guide for...more

Orrick's Derivatives in Review - March 2014

Publication of 2014 ISDA Credit Derivatives Definitions - On February 21, the International Swaps and Derivatives Association, Inc. announced the publication of the 2014 ISDA Credit Derivatives Definitions, which...more

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