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Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.

Everything Compliance-Episode 16, review of the book The Chickenshit Club

by Thomas Fox on

In this episode, the Everything Compliance trio of Matt Kelly, Jay Rosen and Tom Fox unpack our first book review. We consider the recently released The Chickenshit Club by Jesse Eisinger and it may mean for the compliance...more

Everything Compliance-Episode 11, the first 100 Days of the Trump Administration, Part II

by Thomas Fox on

In this second of a two-part series, we conclude the panel’s discussion of the first 100 days of the Trump administration as it relates to compliance. This episode concludes with the panelists’ rants. 1. Matt Kelly opens...more

HSR Act Violations Continue Trend of Heightened Enforcement, Increased Fines in 2016

by Morgan Lewis on

The past year was a challenging one for investors purchasing voting securities in public corporations with respect to compliance with the Hart-Scott-Rodino Antitrust Improvements Act....more

Financial Services Weekly News - December 2016

by Goodwin on

Editor's Note - OCC to Move Forward with Federal FinTech Charter. In a development foreshadowed in the April 6, June 29 and September 14 editions of the Roundup, on December 2, the Office of the Comptroller of the...more

Is the Sky Falling? DOJ and Cooperation

by Dorsey & Whitney LLP on

Is the sky falling or are we on our way to a new normal when it comes to earning cooperation credit from the Department of Justice? These questions were raised in remarks by Deputy Attorney General Sally Yates in remarks...more

After Manipulating 40 Stocks, Caught On A Wire Tap

by Dorsey & Whitney LLP on

Gregg Mulholland pleaded guilty to charges based the manipulation of the securities of 40 different firms over a four year period, beginning in 2010. The manipulations yielded over $250 million in trading profits which were...more

Two Regulatory Crises

by Brooks Pierce on

It strikes me that two civil regulators are facing dire attacks on aspects of their enforcement programs – both in different U.S. Courts of Appeals – at the same time. Both of these attacks arise out of generalized statutes...more

Supreme Court Permits Appeal To Go Forward in LIBOR Antitrust Lawsuit

On January 21, 2015, the Supreme Court decided a narrow but important issue of appellate jurisdiction in cases that have been consolidated for pretrial proceedings by the Judicial Panel on Multidistrict Litigation. A...more

The Power of the Press Release II: A Suggestion For Heightened Scrutiny of Governmental Prosecutorial Pre-trial Public...

by Weintraub Tobin on

In Russell G. Ryan’s recent thoughtful article in the Wall Street Journal entitled “Get the SEC Out Of The PR Business,” he raised several issues that resonate well beyond the practices of the SEC and into the world of...more

The World in US Courts - Orrick's Quarterly Review of Decisions Applying US Law to Global Business and Cross-Border Activities

Fall 2014 - The Global law firm Orrick, Herrington & Sutcliffe LLP takes great pride in announcing the Summer 2014 edition of The World in US Courts: Orrick’s Quarterly Review of Decisions Applying US Law To Global...more

US China Trade War Newsletter

by Dorsey & Whitney LLP on

Dear Friends, There have been major developments in the trade, solar cells, US/Chinese antitrust, and securities areas. REASON FOR THIS NEWSLETTER - Some readers have commented that this newsletter is...more

The World in US Courts: US Laws Discussed - Fall 2013

We provide below alphabetically very brief summaries of key US laws addressed by cases summarized in this edition. Please note that these summaries provide a very simplified overview of the statutes and are not intended to...more

US China Trade War–Developments Trade, Customs, Patents, US/China Antitrust And Securities

by Dorsey & Whitney LLP on

There have been some major developments in the trade, Customs fraud, patents, US/Chinese antitrust, and securities areas. I have just returned from a trip of more than 2 weeks in China. While in China, we discussed US...more

Senior U.S. Officials Discuss FCPA Enforcement Trends and Activity

by Morgan Lewis on

Regulators speaking at the American Conference Institute’s 30th International Conference on the Foreign Corrupt Practices Act tout large penalties, enhanced international cooperation, and a renewed focus on individual...more

Four Key Board Responsibilities for Monitoring Risk and Compliance

by NAVEX Global on

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

How to Conduct Routine Internal Investigations

by Michael Volkov on

The art of day-to-day internal investigations has been ignored in favor of media reports on high-profile, high-stakes internal investigations. With the increasing threat of whistleblower complaints and increasing...more

February 2013: Libor Litigation Update

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

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 Perspectives on

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

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

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

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...

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

ANTI-CORRUPTION COMPLIANCE: DRILLING DOWN ON DOCUMENTATION

by Michael Volkov on

A key, but often overlooked, part of any anti-corruption compliance program is the need to document decisions made by the company. Documentation is critical to demonstrate the company's intent -- the absence of criminal...more

Ifrah Law’s Blog Wrap-up, February 19 – March 8

by Ifrah PLLC on

This is the third of a regular series of posts that summarize and wrap up our latest thoughts that have appeared recently on Ifrah Law’s blogs. 1. Will the Internet Taint a Loughner Verdict? Is it impossible for accused...more

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