Internal Investigations, SEC | JD Supra Law News

Federal Authorities Announce FCPA Action, First SEC Non-Prosecution Agreement

by BuckleySandler LLP on 5/1/2013

On April 22, the DOJ and the SEC announced parallel actions against a clothing company to resolve allegations that a subsidiary of the company paid bribes to Argentine officials over a several-year period to obtain improper...more

Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA [Video]

by Thomas Fox on 4/25/2013

In the two most recent corporate Foreign Corrupt Practices Act (FCPA) enforcement actions, the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) to communicate not only what they believe constitutes a...more

Actions Taken During A FCPA Enforcement Action - Lessons From Parker Drilling And Ralph Lauren

by Thomas Fox on 4/25/2013

In the two most recent corporate Foreign Corrupt Practices Act (FCPA) enforcement actions, the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) to communicate not only what they believe constitutes a...more

How To Demonstrate Ethics And Compliance – Earn It, Re-Earn It And Re-Evaluate It

by Thomas Fox on 4/15/2013

What should your company do if it finds itself in a situation where some of its senior leadership has engaged in conduct which violates its own ethical standards or external legal standard such as the Foreign Corrupt...more

Internal Investigation Fees Awarded To Goldman Sachs

by Mona Amer, Mark Mermelstein | Orrick - Securities Litigation and Regulatory... on 3/5/2013

On Monday, February 25, Goldman Sachs won its bid to force former director Rajat K. Gupta to pay legal fees it incurred while investigating Gupta’s insider trading activities. In October 2012, Gupta was sentenced to two years...more

How Does Your Organization Treat Whistleblowers?

by Thomas Fox on 2/8/2013

As almost everyone knows, Lance Armstrong spoke for the first time about his performance enhancing drug (PED) use recently on Oprah. On the first night he admitted for the first time that he used PEDs during his seven wins at...more

Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2012 Year in Review

by Morgan Lewis on 2/6/2013

This Outline highlights key U.S. Securities and Exchange Commission (the "SEC" or the "Commission") and Financial Industry Regulatory Authority ("FINRA") enforcement developments and cases regarding broker-dealers during...more

How To Prevent Whistleblower Complaints

by Michael Volkov on 1/30/2013

In this era of whistleblower risk, companies need to prepare for whistleblower complaints which are made outside the company. Whistleblowers are not required to report complaints internally nor wait for any specific period...more

Internal Audit Review of Charitable Donations Under the FCPA

by Thomas Fox on 1/10/2013

When is a rose not a rose? When it is a charitable donation not made for philanthropic purposes and it violates the Foreign Corrupt Practices Act (FCPA). I thought about that concept when reviewing the Eli Lilly and Company...more

Top Ten Enforcement Actions for 2012

by Thomas Fox on 1/8/2013

As we welcome in 2013, it is appropriate to reflect back on some of the things which have occurred over 2012 and in the Foreign Corrupt Practices Act (FCPA) enforcement world, it was quite a significant year. The Department...more

The Lilly FCPA Enforcement Action (Part III) Lessons Learned from Russia

by Thomas Fox on 1/4/2013

This Part III is the final installment of my review of the Eli Lilly and Company (Lilly) FCPA enforcement action brought by the Securities and Exchange Commission (SEC). In this Part III, I will review the FCPA issues that...more

The Allianz FCPA Enforcement Action – What the Compliance Practitioner Needs to Know

by Thomas Fox on 1/2/2013

Who is your favorite character from the Iliad? Is it Agamemnon the king who brings the Greek Armada to Troy for his brother’s honor; perhaps Ajax the mountain of a man who is the most loyal Greek warrior; how about Achilles...more

The Dangers of Ignorance: Avoiding an Internal Investigation

by Michael Volkov on 9/10/2012

I would rather have my ignorance than another man’s knowledge, because I have so much more of it. – Mark Twain One should never underestimate the power of inertia. Corporate directors and senior managers sometimes...more

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Internal Investigations › Securities & Exchange Commission

Federal Authorities Announce FCPA Action, First SEC Non-Prosecution Agreement

Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA [Video]

Actions Taken During A FCPA Enforcement Action - Lessons From Parker Drilling And Ralph Lauren

How To Demonstrate Ethics And Compliance – Earn It, Re-Earn It And Re-Evaluate It

Internal Investigation Fees Awarded To Goldman Sachs

How Does Your Organization Treat Whistleblowers?

Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2012 Year in Review

How To Prevent Whistleblower Complaints

Internal Audit Review of Charitable Donations Under the FCPA

Top Ten Enforcement Actions for 2012

The Lilly FCPA Enforcement Action (Part III) Lessons Learned from Russia

The Allianz FCPA Enforcement Action – What the Compliance Practitioner Needs to Know

The Dangers of Ignorance: Avoiding an Internal Investigation

Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA [Video]

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