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Did the Summer Shine any Light on Dodd-Frank Whistleblower Land?

The summer saw a significant new development in the Securities and Exchange Commission’s (“SEC”) whistleblower bounty program but failed to see any development on obtaining clarification as to the reach of the Dodd-Frank...more

SEC Shamelessly Targets Late Filers

Yesterday, the Securities and Exchange Commission announced “charges” against 28 officers, directors, or major shareholders for failing to report timely ownership and transactions as required by Section 16(a) and Section 13...more

SEC Cops Bust 36 for Failure to File Ownership Reports

The SEC charged 29 officers, directors, or major shareholders for violating federal securities laws requiring them to promptly report information about their holdings and transactions in company stock. Seven publicly-traded...more

The 10 Essential Steps to Implement an Effective Anti-Corruption Compliance Program [Video]

The Department of Justice's and the SEC's FCPA Guidance issued last November, 2012, outlined the hallmarks of an "effective" anti-corruption compliance program. In the FCPA Guidance, the Justice Department and the SEC...more

UK Government Proposes New Insider Dealing Powers in the Wholesale Energy Markets

The Department of Energy and Climate Change published a Consultation on 6 August 2014 seeking views on its proposals to introduce new criminal offences for insider dealing in and the manipulation of the wholesale energy...more

FCPA Enforcement: How to Respond to a Government Investigation [Video]

No matter how good a compliance program you have, there is always a risk of an FCPA violation. The Justice Department has stated that 2013 will be a big year in FCPA enforcement with many cases in the pipeline. More companies...more

This Week In Securities Litigation

The Commission prevailed on summary judgment in an action against a broker which alleged he misappropriated client funds. The agency also filed actions centered on: an audit failure; the EB-5 immigration program; undisclosed...more

The SEC Brings Another Case Centered on the EB-5 Immigration Program

The government’s EB-5 program is supposed to be a win win for everyone. For immigrants seeking admission to the United States it is supposed to provide a path to citizenship if the requirements, centered on the investment of...more

Credit Crunch Digest -- August 2014

This issue of the Credit Crunch Digest focuses on Libor yen manipulation; Bank of America’s nearly $17 billion settlement with regulators; ongoing investigations into “dark pool” trading; a $1.3 billion fine imposed on Bank...more

Federal Prosecutors: The New Architects Of Corporate Governance

If I asked who or what are the primary sources of corporate governance changes, I would expect the following answers: Congress, the Securities and Exchange Commission, the stock exchanges, proxy advisory firms, public pension...more

Building An Effective Anti Corruption Compliance Program [Video]

Companies are devoting more time and attention to building a robust anti-corruption compliance program. As they do so, it is important to design the right structure for the compliance program -- from the Corporate Board, to...more

Buying an FCPA Violation Mergers and Acquisition Risks [Video]

FCPA risks are significant when companies acquire other companies. The Justice Department and the SEC have imposed "successor" liability on companies for past bribery violations committed by an acquired company. Pre-closing...more

OSC Rejection of Insider Trading Allegations Emphasizes Prosecution Difficulties

On August 26, 2014, a panel of the Ontario Securities Commission (the “panel”) released its highly anticipated decision involving allegations of insider trading, tipping and conduct contrary to the public interest in...more

Red Notice Newsletter - August 2014

Welcome to the August 2014 edition of Red Notice, a publication of Akin Gump Strauss Hauer & Feld LLP. This month on the anticorruption front, the former CEO of an aviation company pleads guilty to participating in an...more

Anti-Corruption Compliance Program Audits [Video]

Companies are devoting more resources to monitoring their compliance and ethics programs. Whether the audit is conducted at corporate headquarters or in the field, there are important issues which should be examined during...more

How to Monitor, Audit and Improve Your Anti Corruption Compliance Program [Video]

Companies have designed and implemented anti-corruption compliance programs. An important element of an effective compliance program is monitoring and auditing the program to identify issues for improvement. Working in...more

When The Government Chases the Tail of the Dog

Two recent white-collar cases are examples of a phenomenon that one tends to find when the defense is able to emerge victorious: a case with some core facts that simply do not fit the pattern of wrongdoing expected in the...more

SEC – USAO Charge IR Executive With Insider Trading

The SEC may be developing theme based insider trading cases. In recent weeks the agency brought two insider trading actions centered on golfing friends. SEC v. O’Neill, Civil Action No. 1:14-cv-13381 (D. Mass. Filed August...more

Antitrust Enforcement and Compliance Programs [Video]

The Department of Justice had a record year in criminal antitrust enforcement. Global enforcement and coordination continues to increase. As a result, global companies face significant antitrust risk from cartel...more

Anti-Corruption Due Diligence Practical Steps to Protect Your Company from Third Party Risks [Video]

Almost every FCPA enforcement action involves misconduct by third party agents and distributors. The Justice Department and the SEC have emphasized the importance of companies conducing appropriate due diligence. In the...more

This Week In Securities Litigation

The Second Circuit upheld SEC Rule 10b-5-2 which defines certain types of relationships as the predicate for insider trading. In reaching its conclusion the Court rejected an argument that an insider trading claim must be...more

FCPA Compliance Programs A Review of Best Practices [Video]

In response to aggressive FCPA enforcement, the compliance industry has embraced innovative strategies and tools. Whether your company is large, medium or small, it is important to stay abreast of industry best practices....more

Fine Tuning Your Anti Corruption Compliance Program [Video]

In this era of aggressive FCPA enforcement, companies are adopting anti-corruption compliance programs. The Department of Justice and the SEC have warned companies against adopting "paper compliance programs" without...more

Kazakhstan National Bank Tightens Banking and Price Manipulation Rules

The amendments aim to strengthen the requirements for banks’ net equity and charter capital as well as the price manipulation restrictions....more

SEC Brings Another Insider Trading Case Tied To Golf

Golf is becoming a recurring theme in insider trading cases. Last month the SEC brought an insider trading action against a group of golf friends. That action, detailed here, was supported by a series of e-mails among the...more

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