Below is an excerpt from Nick Oberheiden's latest book, "The Law of Tomorrow: Bitcoin, Tokens, Blockchain - An Introduction for Lawyers"
Blockchain is the next technology that lawyers shouldn’t ignore. Mainstream acceptance...more
2/21/2023
/ Arbitration ,
Blockchain ,
Corporate Records ,
Criminal Records ,
Cryptocurrency ,
Discovery ,
Distributed Ledger Technology (DLT) ,
e-Discovery Professionals ,
Electronically Stored Information ,
Financial Transactions ,
Intellectual Property Protection ,
Land Registries ,
Law Firm Associates ,
Law Firm Partners ,
Legal Fees ,
Legal Project Management ,
Legal Technology ,
Popular ,
Proof of Service ,
Settlement ,
Smart Contracts
If you need to appeal the outcome of your federal criminal case, you have lots of factors to consider. While there are a variety of grounds for pursuing appeals, not all grounds are available in all cases; and, even if you...more
Getting convicted for a federal crime in district court is not a situation that defendants want to find themselves in. However, the conviction or the sentence that it leads to do not have to be the end of your case. You have...more
U.S. Immigration and Customs Enforcement (ICE) aggressively executes its mission “to protect America from the cross-border crime and illegal immigration that threaten national security and public safety.” With both political...more
1/31/2023
/ Criminal Liability ,
Defense Strategies ,
Department of Homeland Security (DHS) ,
Employer Liability Issues ,
Employment Eligibility Verification ,
Foreign Workers ,
Form I-9 ,
Immigration and Customs Enforcement (ICE) ,
Immigration Enforcement ,
Investigations ,
Search Warrant ,
Subpoenas
Regulated securities firms need to take significant actions to ensure that their company is complying with the legal requirements set out by regulations promulgated by the U.S. Securities and Exchange Commission (SEC) and the...more
1/25/2023
/ Audit Reports ,
Auditors ,
Internal Audit Functions ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Investment Company Act of 1940 ,
Securities Act ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Fraud ,
Securities Regulation ,
Whistleblowers
As a pharmacist, facing a board of pharmacy investigation can be extremely risky. While losing your professional license might seem like the greatest risk, this isn’t necessarily the case. Increasingly, boards of pharmacy are...more
The U.S. Federal Trade Commission (FTC) holds primary responsibility for enforcing the nation’s consumer protection and antitrust laws. While the FTC actions have traditionally focused on targeting large companies suspected...more
1/10/2023
/ Anticompetitive Behavior ,
Antitrust Violations ,
Civil Investigation Demand ,
Consumer Fraud ,
Criminal Prosecution ,
Defense Strategies ,
E-Commerce ,
Enforcement Authority ,
Federal Trade Commission (FTC) ,
Investigations ,
Record Preservation ,
Special Reports ,
Subpoenas
Allegations of unauthorized trading claims present significant risks for investment brokers and brokerage firms. In addition to investor arbitration with the Financial Industry Regulatory Authority (FINRA), brokers and...more
1/3/2023
/ Broker-Dealer ,
Conflicts of Interest ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Duty of Care ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Fraud ,
Investors ,
Policies and Procedures ,
Regulation Best Interest ,
Regulation BI ,
Rule 10b-5 ,
Securities and Exchange Commission (SEC) ,
Securities Transactions ,
Unauthorized Transactions
Hospitals are subject to numerous state and federal laws, rules, and regulations, like all healthcare organizations. However, due to their outsized role in our nation's healthcare system, the healthcare industry often faces...more
Find Out What Companies and Investment Firms Need to Know about the SEC’s Exam Priorities for 2023 -
Each year, the U.S. Securities and Exchange Commission (SEC) publishes its annual examination priorities. This report...more
12/20/2022
/ Broker-Dealer ,
Compliance ,
Conflicts of Interest ,
Cryptocurrency ,
Cybersecurity ,
Digital Assets ,
Disclosure Requirements ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Fraud ,
Insider Trading ,
Investment Firms ,
Private Funds ,
Registered Investment Advisors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Whistleblowers
The Bureau of Industry and Security (BIS) in the United States Department of Commerce has experienced a surge in recognition and importance over the past year. This Bureau, and particularly the Office of Export Enforcement...more
12/14/2022
/ Bureau of Industry and Security (BIS) ,
Civil Monetary Penalty ,
Economic Sanctions ,
Export Administration Regulations (EAR) ,
Exports ,
Final Rules ,
Imports ,
International Trade ,
Penalties ,
Reputational Injury ,
Russia ,
U.S. Commerce Department ,
Ukraine
Online cryptocurrency promotion—and promotion on social media in particular—has garnered national media attention in recent months. First, the U.S. Securities and Exchange Commission (SEC) announced that it had entered into a...more
12/7/2022
/ Bitcoin ,
Celebrity Endorsements ,
Cryptocurrency ,
Disclosure Requirements ,
Enforcement Actions ,
Ethereum ,
Federal Trade Commission (FTC) ,
Fraud ,
Investment ,
Investment Firms ,
Popular ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Social Media ,
TikTok ,
Transparency ,
Twitter ,
Unfair or Deceptive Trade Practices
The report is the culmination of an internal audit, where the internal auditors describe what they found, provide evidence of the issues that were detected, and the corrective action that they recommend to fix them. The...more
The Foreign Corrupt Practices Act (FCPA) (15 U.S.C. § 78dd-1 et seq.) is a federal anti-bribery law that makes it unlawful for certain people to pay foreign government officials in order to conduct business abroad. While it...more
11/23/2022
/ Anti-Bribery ,
Anti-Corruption ,
Bribery ,
Corruption ,
Cross-Border Transactions ,
Department of Justice (DOJ) ,
Due Diligence ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Internal Audit Functions ,
Risk Management ,
Securities and Exchange Commission (SEC)
As a licensed physician, facing a medical board investigation could mean that your career is on the line. Even though you spent years in medical school and in residency, and even though you may have spent decades honing your...more
Noncompliance with the Bank Secrecy Act (BSA) can subject banks and other financial institutions to substantial penalties. As a result, it is critical that financial institution executives not only understand the BSA itself...more
Many businesses and businesspeople are exposed to potential legal liability for a wide variety of financial crimes. Minimizing financial crime risk or exposure is critical and requires strict compliance with the state and...more
11/1/2022
/ Bank Fraud ,
Banking Sector ,
Compliance ,
Embezzlement ,
Financial Crimes ,
Financial Institutions ,
Financial Services Industry ,
Insider Trading ,
Investment Fraud ,
Mail Fraud ,
Money Laundering ,
Risk Assessment ,
Risk Management ,
Securities Fraud ,
Tax Fraud ,
Theft ,
Wire Fraud
Federal law enforcement takes money laundering and other suspicious transactions extremely seriously. Unfortunately, this does not mean that legal scrutiny is confined to the criminal actors and organizations that launder...more
10/25/2022
/ Anti-Money Laundering ,
Bad Actors ,
Banking Sector ,
BSA/AML ,
Criminal Investigations ,
Criminal Prosecution ,
Enforcement Actions ,
Financial Crimes ,
Financial Institutions ,
Financial Services Industry ,
Money Laundering ,
Suspicious Activity Reports (SARs)
As a licensed physician in Texas, facing a Texas Medical Board (TMB) investigation can present significant risks. Depending on the allegations underlying the investigation, your medical license could be in jeopardy—and you...more
Securities litigation presents substantial risks for companies, firms, and individuals accused of violating federal law, U.S. Securities and Exchange Commission (SEC) regulations, or Financial Industry Regulatory Authority...more
The U.S. Department of Justice’s (DOJ) Consumer Protection Branch works with other branches and federal law enforcement agencies to investigate and prosecute civil and criminal violations of the nation’s consumer protection...more
10/6/2022
/ Consumer Fraud ,
Consumer Protection Laws ,
Criminal Conspiracy ,
Criminal Investigations ,
Criminal Prosecution ,
Defense Strategies ,
Deferred Prosecution Agreements ,
Department of Justice (DOJ) ,
Elder Abuse ,
Enforcement Actions ,
Federal Trade Commission (FTC) ,
Food and Drug Administration (FDA) ,
FTC Act ,
Guilty Pleas ,
Healthcare Fraud ,
Mail Fraud ,
Wire Fraud
Facing a Qlarant audit is a serious matter for healthcare providers and other entities that bill Medicare or Medicaid. While the Qlarant Foundation is a non-profit entity, Qlarant Integrity Solutions is a profit-driven entity...more
Government agency audits focused on Medicare, Medicaid, and pharmacy benefit manager (PBM) compliance can result in substantial losses for pharmacies. Each pharmacy is audited the same way it is done with other similarly...more
The Defense Federal Acquisition Regulation Supplement (DFARS) is a set of rules that apply to federal defense contractors with access to Controlled Unclassified Information (CUI) and Covered Defense Information (CDI). Defense...more
9/13/2022
/ Compliance Monitoring ,
Controlled Defense Information (CDI) ,
Controlled Unclassified Information (CUI) ,
Cybersecurity ,
Defense Sector ,
Department of Defense (DOD) ,
DFARS ,
Documentation ,
Failure To Respond ,
False Claims Act (FCA) ,
Federal Contractors ,
Misrepresentation ,
Noncompliance ,
Risk Mitigation
Public companies in the United States are subject to a laundry list of federal laws and regulations. The U.S. Securities and Exchange Commission (SEC) is responsible for enforcing these laws and regulations, and it routinely...more