The U.S. Department of Justice (DOJ) on March 3, 2023, unveiled a new pilot program and announced several important updates to its Evaluation of Corporate Compliance Programs (ECCP) regarding corporate compensation incentives...more
3/21/2023
/ Clawbacks ,
Compliance ,
Corporate Crimes ,
Corporate Misconduct ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Executive Compensation ,
Guidance Update ,
Incentives ,
Pilot Programs ,
White Collar Crimes
Deputy Attorney General (DAG) Lisa Monaco announced several significant policy updates affecting the U.S. Department of Justice’s (DOJ) enforcement practices for both corporations and individuals on September 15, 2022...more
9/19/2022
/ Corporate Counsel ,
Corporate Governance ,
Corruption ,
Criminal Investigations ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Self-Disclosure Requirements ,
White Collar Crimes
At the Practicing Law Institute’s annual SEC Speaks conference, U.S. Securities and Exchange Commission (SEC) leadership highlighted the agency’s current enforcement priorities and previewed its agenda for the year to come...more
Deputy Attorney General (DAG) Lisa Monaco delivered an exacting message to the white-collar defense bar at the ABA’s 36th National Institute on White Collar Crime—the U.S. Department of Justice (DOJ) is stepping up its...more
The U.S. Department of Justice (DOJ) has issued an opinion letter (catalogued as FCPA Opinion No. 20-01) stating that it does not intend to take enforcement action under the Foreign Corrupt Practices Act (FCPA) against a...more
8/23/2020
/ Anti-Bribery ,
Compliance ,
Corporate Counsel ,
Cross-Border ,
Cross-Border Transactions ,
Department of Justice (DOJ) ,
Documentation ,
Due Diligence ,
Enforcement Actions ,
Finder's Fees ,
Foreign Corrupt Practices Act (FCPA) ,
Investment Adviser ,
Opinion Letter ,
Popular ,
Securities and Exchange Commission (SEC) ,
Third-Party
As employers open or expand access to workplaces, safety considerations remain paramount during the continuing COVID-19 pandemic. And with the influx of employees returning to worksites, employers should prepare not only for...more
Perkins Coie is pleased to present its fourth annual Food Litigation Year in Review, summarizing important developments in consumer litigation affecting the food and beverage industry. Filings against the food and beverage...more
2/19/2020
/ Beverage Manufacturers ,
Cannabis Products ,
Class Action ,
Class Action Settlement ,
Dietary Supplements ,
False Advertising ,
First Amendment ,
Food Labeling ,
Food Manufacturers ,
Food Recalls ,
Grocery Stores ,
Misrepresentation ,
Multidistrict Litigation ,
Natural Products ,
Nutritional Supplements ,
OEHHA ,
Pets ,
Preemption ,
Proposition 65 ,
Putative Class Actions ,
Retailers ,
Slack-Fill Suits ,
Warning Labels
At this year’s PLI “SEC Speaks” conference held April 8-9, 2019, in Washington, D.C., the U.S. Securities and Exchange Commission’s leadership and staff showcased its 2018 successes and outlined initiatives that the SEC...more
4/15/2019
/ Cross-Border Transactions ,
Cryptocurrency ,
Data Protection ,
Disgorgement ,
Enforcement Actions ,
Kokesh v SEC ,
Lorenzo v SEC ,
PSLRA ,
Retail Investors ,
Rule 10b-5 ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Unfair or Deceptive Trade Practices ,
US v Newman
The U.S. Commodity Futures Trading Commission (CFTC) proposed amendments last month to the regulations governing its whistleblower bounty program. A number of the changes are aimed at more closely aligning the CFTC’s...more
9/14/2016
/ BlueLinx Holdings ,
CFTC ,
Comment Period ,
Commodities ,
Commodity Exchange Act (CEA) ,
Confidentiality Agreements ,
Dodd-Frank ,
Financial Institutions ,
Financial Markets ,
Health Net ,
KBR (formerly Kellogg Brown & Root) ,
Popular ,
Rule 21F ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Whistleblowers
In a move that follows long-standing complaints from the corporate community and the FCPA defense bar concerning the government’s vague assurances of “cooperation credit” in FCPA resolutions for self-reporting companies, on...more
At the annual “SEC Speaks” conference held February 19-20, 2016, in Washington, D.C., the U.S. Securities and Exchange Commission’s senior leadership reviewed the agency’s efforts and priorities in 2015 and previewed upcoming...more
The U.S. Securities and Exchange Commission (SEC) touted an expansive regulatory agenda at this year’s “SEC Speaks” conference, held February 20-21, 2015, in Washington, D.C. At this year’s Speaks, SEC representatives...more
In United States v. Newman, the U.S. Court of Appeals for the Second Circuit dealt a substantial blow to federal prosecutors’ epic crackdown on insider trading by raising the bar for the government’s burden of proof in...more
12/17/2014
/ Enforcement Actions ,
Illegal Tipping ,
Insider Trading ,
Material Nonpublic Information ,
Personal Benefit ,
Popular ,
Portfolio Managers ,
Rule 10b-5 ,
Securities ,
Securities Fraud ,
US v Newman
The annual “SEC Speaks Conference,” where the U.S. Securities and Exchange Commission (SEC) and its senior staff review the major developments from the prior year, and preview the SEC’s enforcement priorities for the upcoming...more
Enforcement officials from the U.S. SEC’s Chicago Regional Office and the U.S. Attorney’s Office for the Northern District of Illinois gathered to discuss their enforcement initiatives at the “SEC & DOJ Hot Topics 2014”...more
The annual “SEC Speaks” conference, in which Securities and Exchange Commission (SEC) representatives review the agency’s efforts over the past year and preview the year to come, was held on February 22-23, 2013. A...more
2/25/2013
/ CFTC ,
Citigroup ,
Crowdfunding ,
Dodd-Frank ,
Enforcement ,
Financial Industry Regulatory Authority (FINRA) ,
FSOC ,
Funding Portal ,
Insider Trading ,
Investor Protection ,
JOBS Act ,
Mary Jo White ,
Securities and Exchange Commission (SEC) ,
Whistleblowers