News & Analysis as of

Corporate Fraud

Tokyo Dispute Resolution & Crisis Management Newsletter – April 2017

by King & Spalding on

US Department of Justice Issues New Corporate Compliance Guidelines - Criteria for the Criminal Division’s Evaluation of Corporate Compliance Programs - Introduction - Recently, and without the fanfare that often...more

New Guidance Document: How DOJ Evaluates Corporate Compliance Programs

by Baker Donelson on

The U.S. Department of Justice (DOJ) has issued compliance guidance for corporations that outlines how the Fraud Section will likely evaluate the corporate compliance program of a company under criminal investigation....more

The Fall of the Alamo and Empowerment of the Compliance Professional

by Thomas Fox on

Today is the anniversary of the most historic day of many in the history of the great state of Texas, the date of the fall of the Alamo. While March 2, Texas Independence Day, is when Texas declared its independence from...more

DOJ Issues New Corporate Compliance Guidelines; Document Outlines Criteria for the Criminal Division’s Evaluation of Corporate...

by King & Spalding on

Recently, and without the fanfare that often accompanies new policy guidance regarding corporate fraud, the Fraud Section of the Department of Justice posted a document on its website entitled “Evaluation of Corporate...more

SEC Settles Earnings Fraud Action With Firm, Officers

by Dorsey & Whitney LLP on

One way to meet earnings targets is to accelerate the recognition of revenue. Another is to fabricate it. That is precisely what the defendants did in the Commission’s latest financial fraud action. SEC v. Lime Energy Co.,...more

Foreign Corrupt Practices Act 2015 Year-End Update

by BakerHostetler on

Both the United States Department of Justice (DOJ) and the United States Securities and Exchange Commission (SEC) have continued their focus on anticorruption enforcement in 2015. Although there was a decline in enforcement...more

New DOJ Guidance and FCPA Pilot Program, Part I-Introduction

by Thomas Fox on

Last week the Department of Justice (DOJ) held a Press Conference, open to all, led by Andrew Weissmann and Leslie Caldwell. At this Press Conference, they announced the culmination of several ongoing initiatives into a new...more

Prog Rock Week – Part I: Tribute to Keith Emerson and Expansion of VW Investigation

by Thomas Fox on

Welcome back my friend; To the show that never ends. Except it did last week, when Keith Emerson died. He was the Emerson in Emerson, Lake & Palmer aka ELP. Emerson was one of the greatest keyboardists of his or any...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The SEC had a significant courtroom victory this week, prevailing in the Payton insider trading trial. A jury returned a verdict in favor of the agency. ...more

DOJ Focuses on Individuals in Corporate Wrongdoing

by Burr & Forman on

The U.S. Department of Justice (“DOJ”) has a new view in cases involving corporate wrongdoing (includingfraud and abuse, qui tam, and similar matters). And its gaze is focused squarely on rooting out and punishing the...more

Digging Into Your Internal Controls

by Michael Volkov on

Corruption risks follow the money. If a company has effective controls over money, then the company has a good chance of mitigating corruption risks. A key indicator of a company’s internal controls is to ask if the...more

Supreme Court Clarifies Contours of In Pari Delicto Doctrine

by Morris James LLP on

The Delaware Supreme Court, in a recent order affirming the opinion of the Delaware Court of Chancery, provided clear guidance about when third-party corporate advisers may raise the in pari delicto defense as a shield to...more

DOJ’s Compliance Counsel & Compliance Expectations

by Michael Volkov on

The Justice Department’s hiring of Hui Chen as the new Compliance Counsel is an important development in DOJ’s prosecution of corporate defendants. It is not clear yet what impact Ms. Chen will have. At a recent event at NYU,...more

Baby You Can Drive My Car… Or Corporate Jet: SEC Scrutiny of Executive Compensation Perks Disclosures

by Fenwick & West LLP on

The SEC continues to focus on accounting and disclosure violations, including in the area of executive perks disclosure in corporate proxy statements. In the past year, the SEC brought two enforcement cases against executives...more

Resetting FCPA Prosecution Policies

by Michael Volkov on

Recent press reports suggest that the Justice Department is reconsidering its FCPA criminal prosecution policies, particularly with respect to corporate defendants.  As reported, DOJ is considering defining and increasing...more

DOJ Sharpens Focus on Corporate Compliance in Deciding Whether to Prosecute Companies

by K&L Gates LLP on

One of the factors that the U.S. Department of Justice (DOJ) considers in deciding whether to bring charges against a corporation is the existence and effectiveness of the corporation’s pre-existing compliance program. On...more

OSHA Whistleblower Retaliation Complaints Are on the Rise - Is Your Company Ready?

by Pepper Hamilton LLP on

Many employers are surprised to learn that the Occupational Safety and Health Administration (OSHA) is responsible for investigating whistleblower retaliation complaints under 22 separate federal statutes, not just the...more

New DOJ Corporate Prosecution Guidelines

On September 9, 2015, United States Deputy Attorney General Sally Yates released a memorandum titled “Individual Accountability for Corporate Wrongdoing,” the latest in a series of corporate prosecution guidelines written by...more

Pay Attention to the Man Behind the Curtain: DOJ Memorandum Adds Further Weight to CPSC Enforcement Efforts Against Corporate...

by Morrison & Foerster LLP on

The United States Department of Justice (DOJ) recently issued a memorandum to various enforcement agencies. The memorandum, available here, focuses on holding individuals accountable for corporate fraud and misconduct. The...more

Department of Justice Mandate: Prosecute Individuals for Corporate Wrongdoing

by Baker Donelson on

On September 9, 2015, Sally Quillian Yates, the Deputy Attorney General of the U.S. Department of Justice (DOJ), issued a directive to the leaders of the divisions of the DOJ and to U.S. Attorneys to combat corporate fraud by...more

DOJ Targets Executives and Individuals in Corporate Investigations

by Holland & Knight LLP on

Responding to criticism stemming from a lack of individual prosecutions as a result of the financial crisis, Deputy Attorney General Sally Yates has issued a new guidance memorandum establishing six new steps for federal...more

Department of Justice Focuses on Individual Accountability

by Seyfarth Shaw LLP on

In a move certain to attract the attention of corporate executives, the Department of Justice, on September 9, 2015, issued a new policy memorandum regarding the prosecution of individuals in corporate fraud cases. Titled...more

DOJ Provides Focused “Guidance” on Prosecuting Corporate Individuals

After receiving significant criticism on the Department of Justice’s failure to prosecute corporate executives involved in the financial crisis in 2008, Sally Yates, the Deputy Attorney General issued a seven page memo...more

Misconduct in the C-Suite: The United Airlines Scandal

by Michael Volkov on

It was like a bolt out of the blue – United Airlines’ CEO and two senior executives hastily announced their resignation as a result of their involvement in a bribery scandal with the New York Port Authority....more

DOJ: Companies, Serve Up Your Executives!

by Bracewell LLP on

On September 9, 2015, the Department of Justice (“DOJ”) issued an internal memorandum regarding individual accountability for corporate wrongdoing. The memo, authored by Deputy Attorney General Sally Quillian Yates, is aimed...more

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