Read Securities Law news, alerts, and legal commentary from leading lawyers and law firms:
Compliance Advice on SEC’s Market Access Rule from Julie Dixon of Titan Regulation
Lawyer: European M&A Could Rise Despite Risks
Bill on Bankruptcy: The Market's Unquenchable Thirst for Junk
Are Political Intelligence Practice Groups Too Risky?
Greenberger: Derivatives Legislation Would Seriously Weaken Dodd-Frank
Bill on Bankruptcy: Lehman Test Case on Judicial Nullification
S&C's Cohen: Brown-Vitter Punishes Banks For Being Big
Cohen: Cyprus Is Not A Template For Future Restructurings
Release of new book on the 'Best Practices Under the FCPA and Bribery Act"
Bill on Bankruptcy: Kodak Plan Bumps the Debt, Craters Stock
STOCK Act Loses Much of Its Teeth, but Members of Congress Aim to Change That
Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA
Bill on Bankruptcy: Lawyers Easily Make Simple Words Complicated
Raj Mahajan, Allston Trading CEO, Talks HFT and the Business of Prop Trading
Lessons Learned from the BizJet Executives FCPA Enforcement Actions
Konczal: Dodd-Frank Reforms Get Roughed Up in Court
Bill on Bankruptcy: ResCap Report, a Bargain at $83 Million
Sullivan & Cromwell's M&A Hotline is Ringing
Bill on Bankruptcy: Stockton May Win the Battle, Lose the War
NFA Chairman Chris Hehmeyer Talks Bankruptcy Reform
Last week, the Securities and Exchange Commission (SEC) issued an order awarding three whistleblower awards to tipsters who helped the SEC with its enforcement action against Locust Offshore Management, LLC and its CEO Andrey...more
The Justice Department and the SEC should be credited with promoting new compliance strategies and best practices. Whatever you may think about the DOJ/SEC FCPA enforcement program, they have pushed businesses to enhance...more
Most in-house lawyers, if they're fortunate, haven't bumped up against the Fifth Amendment and its related issues since the bar exam. After all, the so-called "nickel" typically arises solely in the criminal context, and...more
Employers concerned about their organizations’ FCPA compliance have a new, free resource available to them. Recently, the DOJ and the SEC published a long-awaited FCPA guidance for employers. The comprehensive guidance...more
No matter how strong a company’s compliance program, there is always a risk. No matter how many times employees are trained, complete certifications and are reminded of their FCPA compliance obligations, there is always a...more
In Belmont v. MB Investment Partners, Inc., No. 12-1580, 2013 WL 646344 (3d Cir. Feb. 22, 2013), the United States Court of Appeals for the Third Circuit held that a mere failure by corporate directors to oversee enforcement...more
In 2008, Siemens AG paid $800 million to settle charges that it had violated the Foreign Corrupt Practices Act, which generally prohibits bribery of foreign officials for the purpose of obtaining or retaining business. That...more
Ed. Note-today we are pleased to begin a three part guest series from our colleague Mary Shaddock Jones.
My husband, Brian R. Jones, is a CPA, a Certified Fraud Examiner and a member of the Association of Certified...more
The Securities and Exchange Commission (SEC) and the Department of Justice (DOJ) have released a comprehensive Resource Guide to the US Foreign Corrupt Practices Act (FCPA). The 120-page guide includes practical examples of...more
October 26, 2012 - The Federal Crimes Watch Daily
The Federal Crimes Watch Daily is a daily newspaper that discusses current federal criminal issues written by a federal criminal defense attorney.
In This Issue:
- "Second Circuit Clarifies “Substantial Assistance” Standard for Aiding and Abetting Liability in SEC Enforcement Actions"
- "NLRB Prohibits Employers from Requesting that Employees Keep Silent...more
Under the “misappropriation theory” of insider trading, a person violates the securities laws by breaching a fiduciary duty to keep information confidential. But what happens when the entity to whom the fiduciary duty was...more
Executive Summary: The United States Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) are aggressively pursuing allegations of violations of the Foreign Corrupt Practices Act (FCPA) against US and...more
In this week’s issue of Compliance Week, Tammy Whitehouse writes about the SEC’s recent enforcement action against Koss Corporation and Michael J. Koss, its Chief Executive Officer and former Chief Financial Officer....more
In This Presentation:
DODD-FRANK WHISTLEBLOWER LAWS; WHISTLEBLOWER BOUNTY PROVISIONS; ELEMENTS FOR RECEIVING A BOUNTY; WHO MAY BE A WHISTLEBLOWER?; POTENTIAL IMPACT; IMPACT ON INTERNAL COMPLIANCE; EXAMPLE: FOREIGN...more
In the September 2011 issue of the Harvard Business Review, in an article entitled “How to Cultivate Engaged Employees”, author Charalambos A. Vlachoutsicos wrote about his experiences in working for a...more
In his Editor’s View column, in the August issue of Compliance Week, entitled, “Compliance, Collaboration and HR”, Matt Kelly wrote about the interaction of Compliance Departments and Human Resources (HR)....more
Enacted in 1977, the FCPA prohibits bribes to foreign officials with the intent to obtain or retain business. The two main parts of the FCPA are anti-bribery and accounting provisions. Ultimately, the basis for any FCPA...more
On May 25, 2011, a divided Securities and Exchange Commission (SEC) approved final rules to implement the SEC whistleblower provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). Because...more
In this issue: Skilling and Honest Services Fallout; and New Whistleblower Provision.
Excerpt from 'Skilling and Honest...'
Federal prosecutors announced on January 13, 2011 that they would not seek to retry convicted...more
The Dodd-Frank Act includes new and expanded whistleblower protections as well as bounty hunter provisions that are designed to increase the referrals of larger fraud actions by incentivizing employees, contractors, and many...more
Primarily as a result of the recent dramatic increase in the U.S. government's enforcement effort, the Foreign Corrupt Practices Act (FCPA) has received a great deal of attention of late. The financial reform legislation...more
The fraud scandals that rocked the U.S. economy at the beginning of this decade have led governments to re-examine legislation to protect whistleblowers. In the last issue of this newsletter, Karl Gustafson discussed Canada's...more
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