Enforcement, SEC | JD Supra Law News

And Then There Was One – Willbros Related FCPA Enforcement Continues

by Thomas Fox on 5/6/2013

Last week, the US Department of Justice (DOJ) announced the sentencing of Paul G. Novak, a former consultant of Willbros International, Inc., a subsidiary of the Houston based Willbros Group, for his role in a conspiracy to...more

SEC Fills Enforcement Director, General Counsel Positions

by BuckleySandler LLP on 5/2/2013

On April 22, the SEC announced that George Canellos and Andrew Ceresney will share responsibilities as co-directors of the SEC’s Division of Enforcement. Mr. Canellos has been serving as Acting Enforcement Director since...more

A Compilation of Enforcement and Non-Enforcement Actions - May 01, 2013

by Michael G. Dana, Peter D. Fetzer, Terry D. Nelson | Foley & Lardner LLP on 5/1/2013

* Non-Enforcement Matters: - Legislation Reintroduced to Charge Investment Advisor User Fees - SEC Examination Program for Newly Registered Investment Advisers Reveals Common Areas of Concern - Recent...more

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - April 26, 2013

by BuckleySandler LLP on 4/29/2013

In This Issue: - FEDERAL ISSUES - STATE ISSUES - COURTS - FIRM NEWS - FIRM PUBLICATIONS - MORTGAGES - BANKING - CONSUMER FINANCE - SECURITIES - E-COMMERCE - PRIVACY/DATA SECURITY -...more

Banking & Financial Services E-Note - April 25, 2013

by John Chiles, Benjamin Coulter, Bryan Glover, John Michael Kearns, Mignon Lunsford, Zachary Miller, Jordan Teague | Burr & Forman on 4/26/2013

In This Issue: - Regulators Could Step in with Tougher Rules as Bank Profits Rise - Bill Would Force Study of Basel III Impact on Bank Capital Costs - Regulator Wants Enforcement Powers Against Bank...more

PCAOB Issues Its First Cooperation Policy Statement

by Jim Meyers | Orrick - Securities Litigation and Regulatory... on 4/26/2013

On April 24, 2013, the Public Company Accounting Oversight Board issued its inaugural “Policy Statement Regarding Credit for Extraordinary Cooperation in Connection with Board Investigations.” The Policy Statement reiterates...more

SEC Agrees Not To Prosecute Ralph Lauren Corporation For FCPA Violations

by David Jenson | Leonard, Street and Deinard on 4/23/2013

For the first time, the SEC has entered into a Non-Prosecution Agreement (NPA) with a company relating to misconduct under the Foreign Corrupt Practices Act (FCPA). The SEC decided not to prosecute Ralph Lauren Corporation...more

SEC News - Five Year Enforcement Limitation, FCPA Charges for Foreign Nationals, More... [Video]

by JD Supra Law News on 3/13/2013

This issue of JD Supra's Corporate Law Report focuses on latest news and analysis for the Securities and Exchange Commission, including a look at: - a recent SCOTUS decision in Gabelli v. SEC ruling that the SEC only has...more

The SEC Speaks: Enforcement Panel Discusses 2013 Priorities and Past Successes

by Benjamin D. Klein, E. Andrew Southerling | Morgan Lewis on 2/27/2013

Changing SEC leadership defines its priorities for a new era of SEC enforcement. At the annual "The SEC Speaks" conference on February 22 in Washington, D.C., Acting Director George Canellos and other senior officials...more

FINRA Rule 4530 – Recent Revisions Remind Broker-Dealers of the Importance of the New Requirement to Report Internal Findings of...

by Ana-Maria Ignat, Daniel A. Nathan | Morrison & Foerster LLP on 2/27/2013

FINRA recently amended Rule 4530 (Reporting Requirements) to make required reporting by member firms of certain regulatory and disciplinary events less burdensome. Those relatively minor changes will be discussed below. But...more

Two Recent Decisions Provide Rare Guidance on the FCPA’s Reach Over Foreign Nationals

by Ropes & Gray LLP on 2/27/2013

Two recent district court decisions have shed light on the reach and scope of the U.S. Foreign Corrupt Practices Act (FCPA) over foreign nationals: SEC v. Straub and SEC v. Sharef. For companies and individuals operating...more

SEC Speaks: Agency Takes Back-To-Basics Approach In Face Of Changing Leadership, Congressional Mandates And New Technologies

by Regina LaMonica, Jose Lopez, Keith Miller, Charles Mulaney, Pravin Rao | Perkins Coie on 2/25/2013

The annual “SEC Speaks” conference, in which Securities and Exchange Commission (SEC) representatives review the agency’s efforts over the past year and preview the year to come, was held on February 22-23, 2013. A...more

Investment Management Legal + Regulatory Update -- February 2013

by Luke T. Bagley, Jay G. Baris, Thomas M. Devaney, Kelley A. Howes, Robert E. Putney, III, Isabelle Sajous | Morrison & Foerster LLP on 2/14/2013

In This Issue: Regulatory Updates - FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling. Enforcement + Litigation - Enforcement Division priorities target hedge...more

Failing To Act: Lessons From 2012 FCPA Enforcement

by Michael Volkov on 2/12/2013

FCPA practitioners tend to repeat themselves. Some of the points we make need to be repeated, and some do not. Businesses are not able to react as quickly as they should in response to potential risks and possible...more

"The SEC’s Private Equity Enforcement Concerns"

by Lauren Heller, Anastasia T. Rockas | Skadden, Arps, Slate, Meagher & Flom LLP on 2/7/2013

On January 23, 2013, Bruce Karpati, Chief of the Asset Management Unit (the “AMU”) of the Enforcement Division of the Securities and Exchange Commission, addressed the Private Equity International Conference in New York. Mr....more

SEC Enforcement Actions Against Private Equity: Get Ready for More

by Nanette Heide, Richard Jaffe, George Nemphos | Duane Morris LLP on 2/6/2013

In a speech delivered at the Private Equity International Conference on January 23, 2013, in New York, Bruce Karpati, Chief of the U.S. Securities and Exchange Commission (SEC) Enforcement Division's Assets Management Unit,...more

Should Wall Street Fear Mary Jo White? [Video]

by Bloomberg Law on 2/1/2013

Feb. 1 (Bloomberg Law) -- Mary Jo White has spent decades as both a federal prosecutor and later as outside counsel for many financial institutions. If the Senate confirms her as SEC chair, will Wall Street be facing a lawyer...more

A Compilation of Enforcement and Non-Enforcement Actions - January 31, 2013

by Michael G. Dana, Peter D. Fetzer, Terry D. Nelson | Foley & Lardner LLP on 1/31/2013

In This Issue: Non-Enforcement Matters - FINRA Announces Regulatory and Examination Priorities for 2013 - SEC Previous Hedge Fund Enforcement Trends for 2013 Enforcement Matters - Another...more

Mary Jo White as SEC Chairman

by Richard Albert | Morvillo Abramowitz Grand Iason & Anello P.C.... on 1/30/2013

President Obama's recent naming of Mary Jo White to be Chairman of the SEC has been greeted with praise from almost all quarters. But because she is best known for her highly successful tenure as a federal prosecutor, in...more

Death and Taxes? Recent Supreme Court Arguments in Gabelli v. SEC Concerning a General Statute of Limitations for Civil Fines May...

by Christopher R. Hall, Brian Simons | Saul Ewing LLP on 1/25/2013

On January 8, the Supreme Court of the United States heard oral arguments in Gabelli v. S.E.C., 133 S. Ct. 97 (2012) on the question: By when must the government initiate an action to enforce a civil fine, penalty, or...more

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Enforcement › Securities & Exchange Commission

And Then There Was One – Willbros Related FCPA Enforcement Continues

SEC Fills Enforcement Director, General Counsel Positions

A Compilation of Enforcement and Non-Enforcement Actions - May 01, 2013

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - April 26, 2013

Banking & Financial Services E-Note - April 25, 2013

PCAOB Issues Its First Cooperation Policy Statement

SEC Agrees Not To Prosecute Ralph Lauren Corporation For FCPA Violations

SEC News - Five Year Enforcement Limitation, FCPA Charges for Foreign Nationals, More... [Video]

The SEC Speaks: Enforcement Panel Discusses 2013 Priorities and Past Successes

FINRA Rule 4530 – Recent Revisions Remind Broker-Dealers of the Importance of the New Requirement to Report Internal Findings of...

Two Recent Decisions Provide Rare Guidance on the FCPA’s Reach Over Foreign Nationals

SEC Speaks: Agency Takes Back-To-Basics Approach In Face Of Changing Leadership, Congressional Mandates And New Technologies

Investment Management Legal + Regulatory Update -- February 2013

Failing To Act: Lessons From 2012 FCPA Enforcement

"The SEC’s Private Equity Enforcement Concerns"

SEC Enforcement Actions Against Private Equity: Get Ready for More

Should Wall Street Fear Mary Jo White? [Video]

A Compilation of Enforcement and Non-Enforcement Actions - January 31, 2013

Mary Jo White as SEC Chairman

Death and Taxes? Recent Supreme Court Arguments in Gabelli v. SEC Concerning a General Statute of Limitations for Civil Fines May...

"SEC Enforcement in the Second Term of the Obama Administration"

White Collar Practice In 2013: An Old Look For A New Year?

Insider Trading Annual Review - 2012

Infobytes - A Weekly In-depth review of news & developments in the financial services industry - January 11, 2013

The SEC Is Scrutinizing Asset Valuations—Are You Ready?

SEC News - Five Year Enforcement Limitation, FCPA Charges for Foreign Nationals, More... [Video]

Should Wall Street Fear Mary Jo White? [Video]

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