Securities Law, Antitrust & Trade Regulation, Criminal Law

Four Key Board Responsibilities for Monitoring Risk and Compliance

by NAVEX Global on 5/13/2013

Introduction: High Pressure Regulatory Environment - Now more than ever, there is increased regulatory pressure on organizations – and their Boards of Directors – to create and maintain effective ethics and compliance...more

February 2013: Libor Litigation Update

by Quinn Emanuel Urquhart & Sullivan, LLP on 2/18/2013

UBS and Barclays Acknowledge Making False Libor Submissions. Investigations into misconduct at UBS and Barclays have revealed pervasive corruption of the London Interbank Offered Rate (“Libor”), which provides a benchmark for...more

Ticking Time Bomb: Private LIBOR Litigation

by Michael Volkov on 2/13/2013

One by one global banks are being ensnared in the LIBOR prosecution net. Late last year UBS, the Swiss banking giant, entered into a massive settlement in which it agreed to pay approximately $1.5 billion in fines and...more

Resource Guide to the U.S. Foreign Corrupt Practices Act (FCPA)

by JD Supra Law News on 11/14/2012

The definitive guide to complying with the Foreign Corrupt Practices Act, written by those in charge of enforcing it: The Securities and Exchange Commission and the Department of Justice. From the SEC website: "The guide...more

When the CEO Says No to Compliance: FCPA Insights from Watergate's Egil "Bud" Krogh

by Matteson Ellis on 10/30/2012

A recent video posted by the Markkula Center of Applied Ethics highlights one of the most difficult ethical issues facing FCPA compliance officers – doing your job when the CEO does not want you to. To provide some guidance...more

Practical Law Multi-Jurisdictional Guide 2012/13: Corporate Crime, Fraud and Investigations: Japan

by Morrison & Foerster LLP on 8/31/2012

Originally published in Corporate Crime, Fraud and Investigations multi-jurisdictional guide 2012/13 and is reproduced with the permission of the publisher, Practical Law Company. - FRAUD - Regulatory provisions and...more

Morgan Stanley Goes One for One with a Best Practices Compliance Program

by Thomas Fox on 5/2/2012

I believe that the Peterson enforcement action is one of the most significant in 2012 to date. It provides solid guidance to the compliance practitioner on what the DOJ and SEC think is important and gives you actions that...more

Aggressive FCPA Enforcement Persists: Increased Activity, Along With Recent Legal Developments, Mandate that Companies Remain...

by Sheppard Mullin Richter & Hampton LLP on 2/3/2012

Enforcement of the U.S. Foreign Corrupt Practices Act continues to increase dramatically. The U.S. government is dedicating more resources to FCPA enforcement and bringing more enforcement actions than ever before. This...more