Claims: Government Investigations, Enforcement and Triggering Insurance Coverage Under D and O Insurance
FCPA Compliance and Ethics Report-Episode 31-the FCPA Year in Review, Corporate Enforcement Actions
FCPA Compliance and Ethics Report-Episode 21 Update on Current Enforcement Actions, Investigations and Settlement Negotiations
What to Do When the Government Comes Calling – Interview with Peter Chavkin, Member, Mintz Levin
Polsinelli Podcast - White Collar Government Investigations in 2013
Webinar: Investigating and Resolving Sexual Assaults on Campus
What Not To Do If You Are Involved in a Federal Criminal Investigation
How Does Immunity Work in a Federal Criminal Case?
How Do Federal Prosecutors Categorize People Who Are Involved in an Investigation?
Should You Talk to Federal Law Enforcement?
The CFPB recently issued a bulletin highlighting the obligations of debt buyers, debt collectors, and others who furnish information to credit reporting agencies (CRAs) under the Fair Credit Reporting Act (FCRA). In...more
On this day in 1923, the tomb of King Tut was opened. It created a worldwide stir that has in many ways continued down into the 21st century. Clearly, the boy ruler influenced Steve Martin , (How’d you get so funky?, Funky...more
Last Friday, the Equal Employment Opportunity Commission filed suit against CVS Pharmacy in the Northern District of Illinois alleging that standard separation agreements used by CVS unlawfully deter employees, who sign these...more
Our firm's Summer 2012 Insurance Business & Regulatory newsletter discussed a recent increase in market conduct examination activity by the Missouri Department of Insurance, Financial Institutions and Professional...more
The Securities and Exchange Commission (SEC) on January 9, 2014 announced its examination priorities for 2014. The priorities address: (i) market-wide issues, including fraud detection and prevention, corporate governance,...more
Last month, the CFPB began using new templates for its examination reports and supervisory letters (collectively, “reports’). The template changes were announced in the CFPB’s Winter 2013 Supervisory Report, which highlights...more
On January 28, 2014, the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert entitled: Investment Adviser Due Diligence Processes for Selecting...more
The Office of Federal Contract Compliance Programs (OFCCP) likely will be sending out advanced courtesy notifications (formerly known as Corporate Scheduling Announcement Letters or CSALs), to establishments that have been...more
The US Navy contract scandal took an interesting twist recently when one of its contractors, Inchcape Shipping Services, which had been suspended from doing business with the Navy for “conduct indicating questionable business...more
On January 9, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued its annual “hot-topics” list of examination priorities for 2014.
National Exam Program Priorities across OCIE’s entire program...more
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced the 2014 examination priorities (the “Announcement”) for its National Examination Program (the “NEP”). The priorities are organized according to...more
In this Report:
- Reflections On Fifty Years Of Title Vii Of The Civil Rights Act Of 1964 And Unsettled Issues Involving Systemic Claims And Class-Based Litigation By The EEOC
The quest for individual cooperation credit from the U.S. Securities and Exchange Commission is more of an art than a science, involving outcomes based largely on subjective judgments and a process that resists definition and...more
In a surprising turn in the long-running and widely reported dispute between the Securities and Exchange Commission (“SEC”) and the Chinese affiliates of the “Big Four” accounting firms, on January 22, 2014, a U.S....more
This past March, Carl Nuss — a 75-year-old used car dealer from Birmingham, Alabama — received a letter from one of his customers, requesting that Mr. Nuss reduce the customer’s interest rate to six percent since the customer...more
In many ways, corporate governance in 2013 looked similar to corporate governance in 2012. Most public company directors were re-elected with shareholder support in excess of 90 percent of votes cast and only a handful of...more
The Justice Department and the SEC have consistently preached the importance of remediation – that is, efforts by companies to address compliance deficiencies during the pendency of an investigation.
In 2013, DOJ and SEC...more
On January 9, 2014, the U.S. Securities and Exchange Commission (SEC) published its 2014 examination priorities letter (“SEC Letter”) for its National Examination Program (NEP). The NEP covers all markets and entities...more
EEOC Position Statement Comes Back to Bite Employer in Civil Lawsuit -
In Kwan v. Andalex Group, LLC, the Second Circuit (covering New York, Connecticut and Vermont) considered the impact of prior inconsistent...more
On January 9, the SEC announced its examination priorities for 2014, which cover a wide range of issues at financial institutions, including investment advisers and investment companies, broker-dealers, clearing agencies,...more
The SEC National Examination Program announced its 2012 examination priorities. Those priorities are selected by senior staff from the National Exam Program’s offices along with senior SEC staff from the various Divisions and...more
On January 2, 2014, the Financial Industry Regulatory Authority (“FINRA”) published its annual regulatory and examination priorities letter for 2014. In the publication, FINRA addressed a number of matters, including...more
In this episode, I review the corporate FCPA enforcement actions of 2013. ...more
Just when you thought something was a “trend,” the Department of Justice adopts a new policy approach. This year has been a very active enforcement year – the strongest year of FCPA enforcement since 2010....more
Companies struggle to put in place an effective program for conducting internal investigations and meting out discipline. One of the first questions which internal stakeholders struggle with is who is responsible for the...more
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