Securities Law, Criminal Law

Playing With Ralph Lauren: A Fair Settlement?

by Michael Volkov on 5/20/2013

The FCPA Paparazzi has been at it again – it is fascinating to watch the reaction of practitioners and commentators in the FCPA arena. ...more

Are Political Intelligence Practice Groups Too Risky? [Video]

by Bloomberg Law on 5/17/2013

May 17 (Bloomberg Law) -- Robert Walker, attorney at Wiley Rein LLP, talks with Bloomberg Law's Lee Pacchia about the legal and ethical implications of law firms selling political intelligence. Last month, the SEC issued...more

FINRA Focuses on Anti-Money Laundering Procedures and Red Flags

by Kiersten Fletcher, Daniel A. Nathan | Morrison & Foerster LLP on 5/17/2013

Last week, the Financial Industry Regulatory Authority (FINRA) publicized penalties against three companies – as well as four associated individuals – that it found had failed to establish and implement adequate procedures...more

DOJ Turns FCPA Spotlight on Financial Services Sector as Enforcement Efforts in Latin America Continue

by Demme Doufekias, Adam S. Hoffinger, Robert A. Salerno | Morrison & Foerster LLP on 5/16/2013

Last week, the U.S. Department of Justice (DOJ) announced the indictment of two employees of a U.S. broker-dealer, Direct Access Partners, and a senior official in Venezuela’s state economic development bank, Banco de...more

Scam Artists From Texas And Compliance Risk Management

by Thomas Fox on 5/15/2013

Billie Sol Estes died yesterday and when it comes to scam artists from the great state of Texas, before there was Allen Stanford and his magical Certificates of Deposits located in his private bank in Antigua, there was...more

CFTC To Investigate EFS Trades In Energy And Metal Markets

by Elan Mendel | Shipkevich PLLC on 5/15/2013

The Commodity Futures Trading Commision (CFTC) is investigating a large number of trades in energy and metal markets to determine whether traders illegally used over-the-counter swaps markets to trade futures....more

Q&A With Carlton Fields' Brian Rosner

by Brian Rosner | Carlton Fields on 5/14/2013

Brian Rosner is a shareholder in Carlton Fields' New York office. Q: What is the most challenging case you have worked on and what made it challenging? Originally Published in Law360, New York - April 29, 2013....more

International Bribery Charges Against Broker-Dealer Employees Result From SEC Exam

by BuckleySandler LLP on 5/14/2013

On May 7, the DOJ charged two employees of a U.S. broker-dealer and a senior official in Venezuela’s state economic development bank for their alleged roles in what the DOJ describes as a “massive international bribery...more

Unprecedented FCPA Wake-Up Call for U.S. Broker-Dealers and Foreign Banks: Has the Perfect FCPA Storm Finally Arrived for U.S....

by John Goselin, Mauro Wolfe | Duane Morris LLP on 5/14/2013

On May 7, 2013, the U.S. Attorney's Office for the Southern District of New York (SDNY) unsealed extraordinary criminal charges against two registered representatives of a U.S. broker-dealer and a high-level Venezuelan...more

[Legal Perspective] A Look Ahead at SEC Enforcement Actions with Orrick's Jim Meyers

by JD Supra Law News on 5/14/2013

We recently caught up with Jim Meyers, partner in Orrick Herrington & Sutcliffe's Washington, D.C., office for his perspective on what we might see regarding SEC enforcement actions in the months ahead. A member of Orrick's...more

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

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - May 10, 2013

by BuckleySandler LLP on 5/13/2013

In This Issue: - FEDERAL ISSUES - STATE ISSUES - COURTS - MISCELLANY - FIRM NEWS - FIRM PUBLICATIONS - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - PRIVACY/DATA SECURITY -...more

How to Minimize FCPA Risk in Health Care Acquisitions

by Mintz Levin - Health Law on 5/10/2013

When acquiring a health care company doing business abroad, there is no such thing as being too thorough with anti-corruption due diligence. The Department of Justice and the Securities and Exchange Commission have the...more

DOJ and SEC Scrutinize Potential Misuse of Rule 10b5-1 Trading Plans by Corporate Directors Affiliated with Investment Advisers

by Ashley Burden, Stephen Leitzell, Andrew L. Oringer, Adam Wasserman | Dechert LLP on 5/10/2013

Over the past four years, the U.S. Department of Justice (“DOJ”) and U.S. Securities and Exchange Commission (“SEC”) have focused on insider trading involving private funds as one of their key targets in the fight against...more

Improving Your Anti-Corruption Training Program

by Michael Volkov on 5/8/2013

Chief Compliance Officers are usually very proud of their anti-corruption training programs. Most companies rely on a combination of live and on-line training programs to communicate the message of compliance....more

Global Connection - May 2013: DOJ Investigation of a Media Company Shows that FCPA Is Best Viewed Broadly; Sting Operations Will...

by Sara J. Agne | Snell & Wilmer L.L.P. on 5/8/2013

The news this month that the FBI will continue to use sting operations to net Foreign Corrupt Practices Act (FCPA or the Act) violators only serves to emphasize that the FCPA is best viewed broadly. The net cast by the...more

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Securities Law › Criminal Law

Playing With Ralph Lauren: A Fair Settlement?

Are Political Intelligence Practice Groups Too Risky? [Video]

FINRA Focuses on Anti-Money Laundering Procedures and Red Flags

DOJ Turns FCPA Spotlight on Financial Services Sector as Enforcement Efforts in Latin America Continue

Scam Artists From Texas And Compliance Risk Management

CFTC To Investigate EFS Trades In Energy And Metal Markets

Q&A With Carlton Fields' Brian Rosner

International Bribery Charges Against Broker-Dealer Employees Result From SEC Exam

Unprecedented FCPA Wake-Up Call for U.S. Broker-Dealers and Foreign Banks: Has the Perfect FCPA Storm Finally Arrived for U.S....

[Legal Perspective] A Look Ahead at SEC Enforcement Actions with Orrick's Jim Meyers

Four Key Board Responsibilities for Monitoring Risk and Compliance

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - May 10, 2013

How to Minimize FCPA Risk in Health Care Acquisitions

DOJ and SEC Scrutinize Potential Misuse of Rule 10b5-1 Trading Plans by Corporate Directors Affiliated with Investment Advisers

Improving Your Anti-Corruption Training Program

Global Connection - May 2013: DOJ Investigation of a Media Company Shows that FCPA Is Best Viewed Broadly; Sting Operations Will...

What Companies Can Learn From The Ralph Lauren Corporation FCPA Case

And Then There Was One – Willbros Related FCPA Enforcement Continues

The Continuing Controversy Over DPAs And NPAs

Practical Suggestions For Conducting Risk Assessments

Federal Authorities Announce FCPA Action, First SEC Non-Prosecution Agreement

FCPA Prosecutions Against Individuals? Check Out April

Anti-Corruption High-Risk Audits

My FCPA And Bribery Act Musings Continue

Corporate and Financial Weekly Digest - April 26, 2013

Are Political Intelligence Practice Groups Too Risky? [Video]

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