Investigations, DOJ | JD Supra Law News

DOJ and SEC Scrutinize Potential Misuse of Rule 10b5-1 Trading Plans by Corporate Directors Affiliated with Investment Advisers

by Ashley Burden, Stephen Leitzell, Andrew L. Oringer, Adam Wasserman | Dechert LLP on 5/10/2013

Over the past four years, the U.S. Department of Justice (“DOJ”) and U.S. Securities and Exchange Commission (“SEC”) have focused on insider trading involving private funds as one of their key targets in the fight against...more

Global Connection - May 2013: DOJ Investigation of a Media Company Shows that FCPA Is Best Viewed Broadly; Sting Operations Will...

by Sara J. Agne | Snell & Wilmer L.L.P. on 5/8/2013

The news this month that the FBI will continue to use sting operations to net Foreign Corrupt Practices Act (FCPA or the Act) violators only serves to emphasize that the FCPA is best viewed broadly. The net cast by the...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

The Harder They Fall

by Michael Volkov on 4/18/2013

As the old saying goes, even a broken clock is correct two times a day. My prediction several weeks ago is turning out to be on target. FCPA enforcement is continuing and will increase throughout the year – DOJ/SEC...more

Three Compliance Interviews on April 3

by Thomas Fox on 4/4/2013

I attended the Dow Jones Global Compliance Symposium over the past couple of days. It was a great conference and kudos to the entire Dow Jones team for putting on a truly memorable event. Day 2 had some interesting speakers...more

FCPA Snapshot – 2012

by Victoria R. Danta, William H. Devaney, Jan Lawrence Handzlik, Lindsay B. Meyer, Robert Meyerhoff | Venable LLP on 4/3/2013

In 2012, DOJ and the SEC brought 25 new Foreign Corrupt Practices Act (“FCPA”) enforcement actions, a significant decrease from the number of FCPA enforcement actions brought in 2011 (45) and the prolific 2010 (71). However,...more

Sands’ Casinos Report of “Possible” FCPA Violations Will Draw Scrutiny to the Gaming Industry

by Brett W. Johnson, Heidi McNeil Staudenmaier | Snell & Wilmer L.L.P. on 3/5/2013

On Friday, March 1, 2013, the parent company of the Las Vegas Sands Corp. (Sands), reported in a filing to the Securities and Exchange Commission (SEC) that the company may have violated the “books and records and internal...more

Insurance Coverage for Healthcare False Claims Act, Stark, and HIPAA/HITECH Government Investigations

by King & Spalding on 3/1/2013

Federal enforcement of False Claims Act (FCA), Stark anti-kickback, and HIPAA/HITECH claims against healthcare companies continues to rise rapidly. FCA recoveries by the U.S. Department of Justice (DOJ) exceeded $9.5 billion...more

Deferred Prosecution Agreements: How an Effective Compliance Program Can Help You Plan for the Unpredictable

by John S. Linehan, Gina L. Simms | Ober|Kaler on 2/27/2013

During the past several years, prosecutors have increasingly used Deferred Prosecution Agreements (DPAs) against corporations in enforcing white collar criminal statutes. DPAs have enabled companies to avoid the costs and...more

What To Do If The Feds Come Knocking At Your Door!

by Jacqueline Arango, Ari H. Gerstin, Bruce Platt, Richard Sharpstein | Akerman Senterfitt on 1/18/2013

Your employee handbook likely addresses, in great detail, the do's and don'ts of using the internet while at the office, guidance on HIPAA, and even the company's policy on sexual harassment, but does it provide any...more

Fu Manchu and the Wal-Mart FCPA Investigation Water Torture

by Thomas Fox on 1/11/2013

Today we celebrate Fu Manchu. No not the facial accouterments but the fictional character who was introduced to the world in a series of novels by British author Sax Rohmer during the first half of the 20th century. He has...more

When A Whistleblower Investigation Turns Criminal

by Mark J. Biros | Proskauer - Whistleblowing & Retaliation on 12/20/2012

The new SEC bounty-hunter regime, the explosion in whistleblower claims, and the increasing severity and complexity of those claims raises the specter of government investigations and criminal sanctions....more

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Investigations › Dept. of Justice