Labor & Employment Law, Criminal Law, Securities Law

Anti-Corruption High-Risk Audits

by Michael Volkov on 4/29/2013

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

by Jonathan Cavalier, Hayes Hunt | Cozen O'Connor on 4/24/2013

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

by Yonaton Aronoff | Foley & Lardner LLP on 4/2/2013

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?

by Michael Volkov on 3/19/2013

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

by John Stigi | Sheppard Mullin Richter & Hampton LLP on 3/8/2013

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

by Anthony Moshirnia | Sheppard Mullin Richter & Hampton LLP on 2/4/2013

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

by Thomas Fox on 2/4/2013

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

New Guide Examines SEC and DOJ Enforcement of Foreign Corrupt Practices Act

by Marta Moakley | XpertHR - Partnered with LexisNexis on 11/15/2012

The Securities and Exchange Commission (SEC) and the Department of Justice (DOJ) have released a comprehensive Resource Guide to the US Foreign Corrupt Practices Act (FCPA). The 120-page guide includes practical examples of...more

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

by McNabb Associates, P.C. on 10/26/2012

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

by Quinn Emanuel Urquhart & Sullivan, LLP on 10/18/2012

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?

by Morvillo Abramowitz Grand Iason & Anello P.C.... on 10/3/2012

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

by FordHarrison on 5/2/2012

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

by Allen Matkins Leck Gamble Mallory & Natsis... on 11/23/2011

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)

by Winthrop & Weinstine, P.A. on 11/1/2011

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

by Thomas Fox on 8/24/2011

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

by Thomas Fox on 8/23/2011

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

Human Resources' Role in FCPA Compliance

by Dinsmore & Shohl LLP on 6/6/2011

Enacted in 1977, the FCPA prohibits bribes to foreign officials with the intent to obtain or retain business. The two main parts of the FCPA are anti-bribery and accounting provisions. Ultimately, the basis for any FCPA...more

Final Dodd-Frank Whistleblower Rules Do Not Mandate Internal Reporting; May Dramatically Reshape FCPA Enforcement

by Morgan Lewis on 5/28/2011

On May 25, 2011, a divided Securities and Exchange Commission (SEC) approved final rules to implement the SEC whistleblower provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Because...more

White Collar Crime & Investigations Law Update - April 2011

by Ruskin Moscou Faltischek on 4/14/2011

In this issue: Skilling and Honest Services Fallout; and New Whistleblower Provision. Excerpt from 'Skilling and Honest...' Federal prosecutors announced on January 13, 2011 that they would not seek to retry convicted...more

“Whistleblowing Under the Dodd-Frank Act”

by Michael E. Clark on 9/14/2010

The Dodd-Frank Act includes new and expanded whistleblower protections as well as bounty hunter provisions that are designed to increase the referrals of larger fraud actions by incentivizing employees, contractors, and many...more

Whistleblower Provision Likely to Increase FCPA Risk

by Sheppard Mullin Richter & Hampton LLP on 7/29/2010

Primarily as a result of the recent dramatic increase in the U.S. government's enforcement effort, the Foreign Corrupt Practices Act (FCPA) has received a great deal of attention of late. The financial reform legislation...more

Cross-Border Whistleblower Protection by Tom Hakemi

by Lang Michener LLP on 4/21/2008

The fraud scandals that rocked the U.S. economy at the beginning of this decade have led governments to re-examine legislation to protect whistleblowers. In the last issue of this newsletter, Karl Gustafson discussed Canada's...more

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Labor & Employment Law › Criminal Law › Securities Law