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White Collar Crimes Enforcement

FCPA Compliance Report-Episode 333, Professor Samuel Buell

by Thomas Fox on

Today I am joined again by Professor Samuel Buell, from Duke University School of Law to discuss a recent paper he co-authored with Rachel Brewster entitled, “The Market for Global AntiCorruption Enforcement“. In the paper...more

Everything Compliance-Episode 11, the first 100 Days of the Trump Administration, Part II

by Thomas Fox on

In this second of a two-part series, we conclude the panel’s discussion of the first 100 days of the Trump administration as it relates to compliance. This episode concludes with the panelists’ rants. 1. Matt Kelly opens...more

Financial Fraud: An SEC Staple?

by Dorsey & Whitney LLP on

Since the SEC announced the formation of its Financial Fraud Task Force two years ago the agency has struggled to establish this once enforcement mainstay as a current staple. Some commentators have suggested that a trend is...more

The Deeper Dive: C-Suite to Prison Pipeline

by BakerHostetler on

In recent years, the U.S. Department of Justice (DOJ) has been criticized for failing to prosecute executives for fraud, particularly in the financial sector. In response, the DOJ has begun to more heavily emphasize...more

The US Government’s Charge Against “Spoofing”

by Morgan Lewis on

Asset managers should consider the practical implications of these recent developments. Signaling a new area of criminal and civil securities enforcement, federal regulators are flexing their newly acquired powers under...more

Corporate Investigations & White Collar Defense - May 2015

It’s an Absolute Privilege to Meet You! Texas Supreme Court Rules That Internal Investigation Report Provided by Shell Oil to DOJ Enjoys “Absolute Privilege” - Why it matters: On May 15, 2015, the Texas Supreme Court...more

Jail Time & Multi-National Cooperation in Investigations: Clues to Future Enforcement of U.K. Financial Crimes

by NAVEX Global on

In the first of three posts on the future enforcement of U.K. financial crimes, we explore the implications of enforcement actions in the U.K. To see all four clues and a roadmap for implementing an effective business conduct...more

Larger Rewards For Wall Street Whistleblowers May Be On The Horizon

As reported by the Wall Street Journal, the Obama administration will seek to remove the $1.6 million cap on rewards to whistleblowers who provide evidence of criminal conduct by financial executives under the 1989 Financial...more

SEC Can’t Pass On Pot Stock Puffery

Corporations facing federal securities suits can sometimes avoid liability by claiming that their forward-looking statements were so vague or indefinite that they could not have affected the company’s stock price and are...more

DOJ Enforcement to Trend Even More Towards White Collar?

by Moore & Van Allen PLLC on

On April 29, 2009, just weeks after being sworn in as the Assistant Attorney General for the Department of Justice’s Criminal Division, Lanny Breuer testified before Congress that “[t]he Administration believes Congress’s...more

Foreign Pink Sheets Companies and the FCPA

by Brooks Pierce on

Penny stock companies have been much in the news recently. They can be tough entities for law enforcement to look into given that their officers and directors are often not inclined to cooperate with government...more

Risks of International Anti-Corruption Enforcement

by Michael Volkov on

White collar criminal investigations take time. Corruption investigations are no different. Everyone expected UK Bribery enforcement to quickly increase and cause complex headaches for companies operating in the global...more

DOJ Shifts Stance on False Statements Prosecutions - A Change That Could Have a Major Impact on Future White Collar...

by Holland & Knight LLP on

The U.S. Department of Justice (DOJ) recently adopted a more defense-friendly position on criminal prosecutions under a commonly used federal charging statute, Section 1001. This statute makes it a crime to "knowingly and...more

Building a Next-Generation Anti-Bribery & Corruption Compliance Program

by NAVEX Global on

Global companies face unprecedented third party risk in today’s landscape — third parties are involved in 90% of Foreign Corrupt Practices Act (FCPA) cases, and more companies are under investigation than ever before in the...more

This Week In Securities Litigation (Week ending May 2, 2014)

by Dorsey & Whitney LLP on

Chair Mary Jo White testified before Congress this week. Her testimony focused on the budget, reviewing the recent work of the agency. The Commission brought a series of civil injunctive and administrative proceedings this...more

Regrouping And Refocusing: 2013 FCPA Year-In-Review And Enforcement Trends For 2014

by Perkins Coie on

Following a relatively flat enforcement landscape and some bumps in the 2013 prosecutorial road, the Department of Justice (‘‘DOJ’’) and the Securities and Exchange Commission (‘‘SEC’’) appear poised to spring back into...more

SEC Announces National Exam Program Priorities

by Dorsey & Whitney LLP on

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

The Financial Report - Volume 3, No. 1 • January 2014 (Global)

by DLA Piper on

Invariably, the end of a calendar year brings “year-in-review” retrospectives on topics both major and mundane. Similarly, the start of a new calendar year is always accompanied by predictions and forecasts for the ensuing 12...more

The SEC: The Future Path of Enforcement (Conclusion)

by Dorsey & Whitney LLP on

Parts I and II of this series looked back at select cases brought by the Commission during 2013. Part III considered the projected path of SEC Enforcement based on remarks by members of the Commission and new initiatives....more

The SEC: The Future Path of Enforcement

by Dorsey & Whitney LLP on

SEC Enforcement is in transition. The agency has a new Chair, new Commissioners and a new Director of the Division of Enforcement. Aggressive new approaches have been outlined, building on the notion that the enforcement...more

The Global Anti-Corruption Perspective - October 2013

by DLA Piper on

CHINA’S NEW WAVE OF REGULATORY ENFORCEMENT: WHAT MULTINATIONALS NEED TO KNOW - Since Xi Jiping became China’s leader this year, the PRC has seen the launch of an unprecedented, sweeping government campaign to tackle...more

SEC “Refocuses” On Accounting Fraud

by Michael Volkov on

It is almost a government rite of passage – when a new leader takes the reins, the chessboard has to be reorganized to reflect the new leader’s “new priorities.” When it comes to the SEC, and the new Chairwoman Mary Jo...more

Brazil And Its Commitment To Anti-Corruption Enforcement

by Michael Volkov on

It is too easy to ignore the impact that Brazil’s new anti-corruption law will have with a cynical brush of the hand in the air. It is too easy to dismiss Brazil’s commitment to the anti-corruption movement by suggesting...more

The FCPA on Steroids: Brazil Ups the Ante in Fighting Corporate Corruption

by BakerHostetler on

Recently, in the wake of massive protests throughout Brazil concerning corruption and other issues, Brazilian President Dilma Vana Rousseff dramatically increased anti-corruption prohibitions in Brazil by signing into law the...more

Canada and the United States Join Hands to Hunt Down Securities Fraud: Double Exposure for Companies and Their Executives?

by DLA Piper on

Companies facing the recent surge of regulatory change in the United States, particularly under the Dodd-Frank Wall Street Reform and Consumer Protection Act, now may have Canadian regulators to worry about as well. On June...more

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