FCPA Compliance and Ethics Report-Episode 173-Adam Turteltaub on upcoming SCCE events
FCPA Compliance and Ethics Report-Episode 172-Scott Killingsworth on Personal Liability of CCOs
FCPA Compliance and Ethics Report-Episode 171-FCPA Enforcement in the Energy Industry
FCPA Compliance and Ethics Report-Episode 170-Yas Froemel and Facilitation Payments
FCPA Compliance and Ethics Report-Episode 169-the First Mailbag Issue
FCPA Compliance and Ethics Report-Episode 168-Dan Cogdell on criminal procedure issues in defending an individual prosecuted criminally under the FCPA
Nowotny on Private Placement Group Variable Deferred Annuity Contracts for Tax Exempt and Foreign Investors
Nowotny on Private Placement Variable Deferred Annuities
FCPA Compliance and Ethics Report-Episode 167-Mara Senn on the Top 10 Practices in a Cross-Border Investigation
Nowotny on Private Placement Life Insurance
FCPA Compliance and Ethics Report-Episode 166-Sepp Blatter Resigns
FCPA Compliance and Ethics Report-Episode 165-BHP FCPA Enforcement and Lessons Learned for the Compliance Practitioner
FCPA Compliance and Ethics Report-Episode 163-the FIFA Indictments, with Mike Brown
FCPA Compliance and Ethics Report-Episode 162-Kristine Robidoux on new Canadian whistleblower initiatives
FCPA Compliance and Ethics Report-Episode 161-Gini Dietrich on how to create a MasterClass
FCPA Compliance and Ethics Report-Episode 159-Alison Taylor on the intersection of CSR and the FCPA
FCPA Compliance and Ethics Report-Episode 158-Jeff Lurie on pre-acquisition M&A protocols
Halliburton: Good for the Plaintiffs’ Bar?
FCPA Compliance and Ethics Report-Episode 157-Training of Third Parties Under the FCPA
FCPA Compliance and Ethics Report-Episode 156-emergency podcast on Deflategate and the Wells Report
Jing Wang, a former Qualcomm Inc. Executive Vice President began by constructing a cover-up. Then he engaged in insider trading, using inside information taken from his employer. The scheme failed. Mr. Wang has been sentenced...more
Pump-and-dump occurs when corporate officers or other shareholders fraudulently promote shares of a company and engage in fraudulent sales to increase the value of shares. This is injurious to other shareholders who suffer...more
On June 9, Chad Wiegand and Akis Eracleous, two San-Diego based brokers, pled guilty in California district court to trading in Ardea Biosciences, Inc. stock with inside information.
Mr. Wiegand and Mr. Eracleous,...more
IAP Worldwide Services Inc., a Virginia based facilities management firm, entered into a non-prosecution agreement with the Department of Justice and agreed to pay a $7.1 million penalty to resolve FCPA charges. A vice...more
Asset managers should consider the practical implications of these recent developments.
Signaling a new area of criminal and civil securities enforcement, federal regulators are flexing their newly acquired powers under...more
There have been some significant developments in the world of international anti-corruption laws in recent months. The following are a few examples...more
In a brief — and swiftly decided — per curiam decision issued June 4, 2015, the US Court of Appeals for the Second Circuit affirmed the wire fraud and wire fraud conspiracy convictions of three former UBS Financial Services,...more
The acquisition of Foundry Networks, Inc., a networking hardware company, by Brocade Communications System, Inc., a technology company specializing in data and storage networking products, announced on July 21, 2008, has...more
Recent enforcement actions by the Department of Justice and Securities and Exchange Commission have raised the profile of corruption in international sport and highlight unique FCPA compliance concerns. This note will explain...more
The U.S. Department of Justice’s aggressive use of the Financial Institutions Reform, Recovery, and Enforcement Act to sue banks for fraud just received an unexpected boost, and from an unlikely source: In a criminal case...more
In this episode I visit with well-known criminal defense attorney Dan Cogdell. He talks about some of the issues around defending individuals involved in a criminal-side FCPA enforcement action including: criminal procedure,...more
You’ve been reading the FCPA Compliance Digest for five months now, and there’s still not a shortage of companies getting into trouble for violating the FCPA. That may seem like an obvious statement, but running out of news...more
In recent days the Department of Justice and the Securities and Exchange Commission have issued strong messages reemphasizing the importance of effective corporate compliance programs.
Assistant Attorney General Leslie...more
This is the fifth and concluding segment of a five part series discussing the impact of the Second Circuit’s ruling in Newman on SEC insider trading cases.
The impact of Newman on the SEC and the DOJ may...more
Federal Bureau of Investigation (FBI) wiretapping played an important role in the wide-ranging insider trading investigation and subsequent trials of Galleon Group LLC principals and traders. During his criminal prosecution,...more
This is the third segment of a five part series discussing the impact of the Second Circuit’s ruling in Newman on SEC insider trading cases.
Post Newman SEC Actions -
In the wake of Newman the SEC has three...more
This issue of the Credit Crunch Digest focuses on the nearly $6 billion Forex settlement between the big banks and various regulatory agencies; a judgment against RBS and Nomura in a mortgage-backed securities lawsuit brought...more
It’s an Absolute Privilege to Meet You! Texas Supreme Court Rules That Internal Investigation Report Provided by Shell Oil to DOJ Enjoys “Absolute Privilege” -
Why it matters: On May 15, 2015, the Texas Supreme Court...more
On May 20, 2015, the U.S. Securities and Exchange Commission (SEC) announced a $25 million settlement with Anglo-Australian natural resource extraction company BHP Billiton. The settlement resolves charges that the...more
This is the second segment of a five part series discussing the impact of the Second Circuit’s ruling in Newman on SEC insider trading cases.
The Immediate Impact of Newman -
The most immediate impact of Newman is...more
This is the first segment of a five part series discussing the impact of the Second Circuit’s ruling in Newman on SEC insider trading cases.
In seeking rehearing and an en banc hearing before the...more
In This Issue:
- Recent Prosecutions and Settlements:
FCPA Enforcement Trends and Developments: Recent U.S. Foreign Corrupt Practices Act enforcement trends include the growing importance of corporate...more
And the Insider Trading Charges Stick -
On May 12, 2015, in United States v. Douglas Parigian, U.S. District Court Judge Denise Casper became the first judge in the First Circuit to opine on a challenge to insider...more
The Commission filed and insider trading case in tandem with the Manhattan U.S. Attorney’s Office against a father and son based on repeated trades in advance of deal announcements even after FINRA initiated an investigation...more
Senator Shelby Releases Discussion Draft of Financial Regulatory Bill.
On May 12 Senator Richard Shelby, the Chairman of the Senate Committee on Banking, Housing, and Urban Affairs, announced that the Committee had...more
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