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Document Productions Securities and Exchange Commission (SEC)

Oberheiden P.C.

SEC Subpoena - 6 Things You Must Do To Protect Your Company

Oberheiden P.C. on

The Securities and Exchange Commission is a formidable federal agency charged with the authority to investigate various instances of securities fraud and misconduct by entities, executives, and investors in order to protect...more

Jones Day

Companies Should Not Overlook Potential D&O Coverage When Responding to Government Subpoenas

Jones Day on

The Situation: Corporate policyholders, and their individual officers and directors, often incur significant fees and costs when forced to respond to government subpoenas that may require extensive document productions and...more

Burr & Forman

SEC Enforcement Staff Regains Subpoena Power

Burr & Forman on

On February 9, Acting SEC Chair Lee announced she was restoring the delegated authority of Enforcement Division senior officials to issue subpoenas to compel document production and sworn testimony without the need of a...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC v. RPM International — A Cautionary Case Study on the Limits of Attorney-Client Privilege and Work-Product Protection

While much of the corporate legal world has been focused on the effects of the COVID-19 pandemic, a little-noticed case working its way through the federal courts in Washington, D.C. threatens to whittle down the scope of...more

Orrick - Trade Secrets Group

Mine Your Own Business: Multinational Mining Company Seeks Protection Of Alleged Trade Secrets During Discovery

Last week, multinational mining giant Rio Tinto asked a federal court in Manhattan to shield its document disclosures to the Securities and Exchange Commission (SEC) from the public eye....more

Foley & Lardner LLP

DOJ Issues New FCPA Policy Offering Incentives to Encourage Disclosure of Foreign Bribery and Corruption Misconduct

Foley & Lardner LLP on

On November 29, 2017, Deputy Attorney General Rod Rosenstein announced that the U.S. Department of Justice (DOJ) was issuing a new enforcement policy covering its enforcement of the Foreign Corrupt Practices Act (FCPA). The...more

Eversheds Sutherland (US) LLP

Partnering Perspectives - Fall 2017

With the US poised to decrease regulation and the outcome of Brexit unknown, multinational institutions face a great deal of unpredictability in the regulatory landscape. In this edition of Partnering Perspectives, we look at...more

Dorsey & Whitney LLP

Cooperation, the SEC and FOIA

Dorsey & Whitney LLP on

A critical part of cooperating with an SEC or DOJ investigation for FCPA or other possible violations is the production of documents. In order for the company to assess what happened it must conduct an internal investigation...more

Orrick, Herrington & Sutcliffe LLP

Policy Observer - July 2013

Getting Over the Bar: Second Circuit Requires Actual Payment of Underlying Limits In Order to Trigger Excess D&O Policies - In June, the Second Circuit held that two Federal Insurance Company ("FIC") excess D&O...more

Katten Muchin Rosenman LLP

SEC Oversight of FINRA Exempt from FOIA Request

The District Court for the District of Columbia has held that the Securities and Exchange Commission is exempt from producing documents relating to its audit, inspections, and review of the Financial Industry Regulatory...more

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