News & Analysis as of

Enforcement Actions Dept. of Justice

Second Circuit Limits Disclosure of Independent Monitor Reports in Deferred Prosecution Cases

by Pepper Hamilton LLP on

On July 12, the U.S. Court of Appeals for the Second Circuit issued an important decision regarding the role of federal courts in cases resolved through deferred prosecution agreements (DPAs) — a settlement avenue that the...more

U.S. Commodity Futures Trading Commission Enters Into Its First Public Non-Prosecution Agreements

by Allen & Overy LLP on

On June 29th, 2017, the U.S. Commodity Futures Trading Commission (CFTC) entered into the first public non-prosecution agreements in its history with three former Citigroup traders, pledging not to pursue civil...more

SEC and U.S. Attorney’s Office Bring Action Against Promoter of Bitcoin Store, Inc.

by Perkins Coie on

On June 30, 2017, the SEC and the U.S. Attorney brought parallel civil and criminal fraud charges against Renwick Haddow, the owner of an unregistered broker-dealer entity named InCrowd Equity Inc., and two corporate entities...more

DOJ Settlement Looks to Set New Benchmarks for Suspicious Order Monitoring

by Ropes & Gray LLP on

This week, the U.S. Department of Justice and Drug Enforcement Administration announced a $35 million settlement with a major pharmaceutical manufacturer to resolve alleged failures to monitor and report suspicious orders for...more

Panda Express Fined $400,000 for Form I-9 Compliance Violation

Panda Express—the world’s leading Chinese fast food chain—agreed to settle a US Department of Justice (DOJ) investigation into its Form I-9, Employment Eligibility Verification procedures.  Panda Express was fined $400,000...more

Justice Department Settles with Michigan Credit Union for Violations of the Servicemembers Civil Relief Act

by Ballard Spahr LLP on

The U.S. Department of Justice (DOJ) announced last week that it reached an agreement with Michigan-based COPOCO Community Credit Union to settle a lawsuit alleging that the credit union violated the Servicemembers Civil...more

Insider Trading, Research on Evading Detection Yields SEC, DOJ Charges

by Dorsey & Whitney LLP on

Trying to cover-up illegal conduct can, and usually does, make the situation worse. A research engineer who used material non-public information obtained from his attorney wife to trade in advance of two acquisitions while...more

OCR, DOJ Heads Clarify Plans to “Reorient” Approach

by Barley Snyder on

With all of the issues the Trump administration is attending to as the nation’s transition continues, smaller -- but still-important -- issues aren’t getting much attention. But in late June, high-ranking federal officials...more

“Too Important to Jail,” the Yates Memorandum and FCPA Criminal Prosecutions

by Michael Volkov on

The Justice Department’s continuing lack of individual criminal prosecutions in the FCPA arena continues to raise serious questions. DOJ’s issuance of the Yates memorandum was seen as a new and important reiteration of DOJ’s...more

DOJ’s “Filip” Factors and Corporate Prosecutions

by Michael Volkov on

Companies that experience a Justice Department criminal investigation undergo a long and painful process. DOJ prosecutors hold the cards when reviewing the facts and deciding whether to indict a company....more

Anti-Corruption Digest - July 2017

by Dorsey & Whitney LLP on

Welcome to Dorsey & Whitney’s monthly Anti-Corruption Digest. The Digest puts material regarding anti-corruption enforcement from around the world at your fingertips, keeping you ahead of critical events that impact global...more

Trump and Compliance: The First 100 Days [eBook]

by Thomas Fox on

Since November 9, 2016 the Apocalypse has not descended (at least as of the writing of this foreword). Since that time many of the leading compliance commentators have considered what the first 100 days of the Trump...more

Hui Chen-Propelling a New Level of Thinking on Compliance

by Thomas Fox on

Last week Matt Kelly scored the first interview with the Department of Justice’s (DOJ) former Compliance Counsel, Hui Chen after she left the DOJ. Kelly posted it on his Radical Compliance podcast site and its available on...more

Red Notice Newsletter - June 2017

ANTICORRUPTION DEVELOPMENTS - Linde Group Receives DOJ Declination Pursuant to FCPA Pilot Program - On June 16, 2017, German based chemical and gas company Linde Group’s American affiliates, Linde North America Inc....more

If You Give a Mouse a Cookie: Ongoing Regulatory Monitoring Increasing in Federal and State Non-Compliance Resolution

Earlier this year we highlighted the growing trend of regulators asserting continuing post-investigation control over the operations of companies accused of compliance failures. At the state level, we highlighted a deal...more

Will the Justice Department Continue to Use DPAs and NPAs?

by Michael Volkov on

With a new administration at the Department of Justice, practitioners and commentators are looking for signs of change. Given the current politics of the new administration, the Justice Department will undergo changes in...more

What Happened in Oslo Shouldn’t Stay in Oslo - Corporate Compliance Insights

Fresh on the heels of the Anti-Korrupsjons+Konferansen in Norway, Richard Bistrong offers a look inside the conference and details some of the key takeaways. Originally published in Corporate Compliance Insights....more

Effective FCPA Compliance Programs: Building a Compliance Defense

by Dorsey & Whitney LLP on

The classic 1957 American mystery film “Three Faces of Eve,” about a woman with multiple personalities, may well describe the approach taken by the U.S. Department of Justice (DOJ) and the U.S. Securities and Exchange...more

DOJ Ban Pushes Third Parties to the Periphery - A new restriction on settlement payments could limit role of Supplemental...

A one-page memorandum from Attorney General Jeff Sessions could cause significant changes to how settling defendants can use supplemental environmental projects (SEPs) in settling Department of Justice (DOJ) environmental...more

Learn from History or Repeat It: FCPA 2016 in Review

by NAVEX Global on

We have never seen, and may well never see again, a year of FCPA corporate enforcements as we did in 2016. Combined, the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) initiated 27 corporate...more

Update on Regulatory Compliance in the Global Health Care Industry

by Baker Ober Health Law on

A comprehensive understanding of the constantly evolving layers that make up federal anti-corruption statutes, sanctions regulations and export control restrictions is imperative for both the pharmaceutical and health care...more

Taiwan: Cross-border opportunities amid global change: Future antitrust merger enforcement in the United States

by White & Case LLP on

The new US administration's antitrust enforcement priorities remain unclear, but signs of a less interventionist approach are beginning to emerge. What does the 2016 US presidential election mean for antitrust policy in...more

U.S. Agencies Step Up Insider Trading Enforcement Against Foreign Nationals, Particularly Chinese Traders

by Perkins Coie on

Investigations and enforcement actions by the U.S. Securities and Exchange Commission (SEC) and U.S. Department of Justice (DOJ) targeting potential illegal insider trading by foreign nationals, particularly by those in...more

DOJ Issues Policy Memo Limiting the Use of Supplemental Environmental Projects in Federal Settlements

by Downey Brand LLP on

On June 7, 2017, the United States Department of Justice (DOJ) issued a policy memorandum dated June 5, 2017 that prohibits the allocation of settlement funds to non-governmental, third-party organizations, as a condition of...more

Red Notice Newsletter - Chinese

ANTICORRUPTION DEVELOPMENTS - Steven Peikin Reported to Become Co-Director of SEC’s Enforcement Division - On May 26, 2017, The Wall Street Journal reported that recently confirmed Commissioner Jay Clayton will hire...more

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