Finance & Banking Securities Criminal Law

SEC Enforcement Actions Insider Trading Criminal Prosecution DOJ Securities Fraud FCPA Compliance Fraud Popular UK CFTC Enforcement Bribery White Collar Crimes Illegal Tipping US v Newman Securities Financial Conduct Authority (FCA) FINRA Hedge Funds Personal Benefit Anti-Corruption Money Laundering EU Material Nonpublic Information Deferred Prosecution Agreements Investment Adviser Misappropriation Anti-Money Laundering Banks Broker-Dealer Chief Compliance Officers SCOTUS Spoofing Dodd-Frank Libor FinCEN Whistleblowers Corruption Wire Fraud Indictments Market Manipulation Securities Exchange Act China Investment Funds Portfolio Managers Bitcoin Internal Investigations Bank Secrecy Act Securities Litigation Serious Fraud Office Criminal Conspiracy Financial Institutions US v Salman Virtual Currency Banking Sector Ponzi Scheme Appeals Audits Australia Confidential Information Conflicts of Interest Offering Fraud Price Manipulation Rule 10b-5 Criminal Convictions Securities Violations Swaps Breach of Duty Internal Controls Tippees Convictions Disgorgement European Securities and Markets Authority (ESMA) False Statements Hong Kong Investigations Mary Jo White Non-Prosecution Agreements UK Bribery Act C-Suite Executives Dirks v SEC Ethics Financial Markets Government Investigations Guilty Pleas JPMorgan Chase Misrepresentation Reporting Requirements Sanctions Self-Reporting Suspicious Activity Reports (SARs) Tippers Administrative Hearings Civil Monetary Penalty Conspiracies Cooperation Corporate Governance Deutsche Bank Federal Reserve Municipal Bonds PCAOB Risk Management Section 10(b) Sentencing Statute of Limitations Anti-Bribery Commodities Corporate Counsel Cybersecurity False Claims Act (FCA) FBI Investors Market Abuse OCC Risk Assessment RMBS Settlement SFO Shareholders U.S. Treasury Unregistered Securities Acquittals Asset Management Bank Fraud Barclays Criminal Investigations Dell Due Diligence Federal Sentencing Guidelines Fiduciary Duty Financial Crimes Financial Regulatory Reform Individual Accountability Mail Fraud MiFID II Morgan Stanley Mortgages Non-Public Information OFAC Personal Liability Pump and Dump Stocks Strategic Enforcement Plan Unregistered Brokers Yates Memorandum Blockchain Books & Records Brokers Canada Class Action Collateralized Debt Obligations Crowdfunding EB-5 Extraterritoriality Rules FDIC Federal Pilot Programs Foreign Banks Foreign Nationals Investment Fraud JOBS Act Judge Rakoff Kickbacks Nvidia Private Equity Tax Evasion CFPB CME Commodities Exchange Act Corporate Crimes CPO Cross-Border Declination Derivatives Disclosure Requirements Disruptive Trading Practices Economic Sanctions Financial Services Industry Fines Foreign Official FSMA Fund Managers Futures High Frequency Trading IRS Meals-Gifts-and Entertainment Rules Mens Rea Mortgage-Backed Securities NFA Obstruction of Justice Penalties Personal Jurisdiction Prudential Regulation Authority Sarbanes-Oxley Securities Act of 1933 Security-Based Swaps Terrorism Funding Ukraine Algorithmic Trading AML/CFT Asset Freeze Attorney Generals Attorney-Client Privilege Bank of America Basel Committee Best Management Practices Block Trades Bonds Brazil Citigroup Corporate Fraud Corporate Misconduct Corporate Officers Dark Pool Email Evidence Export Controls Extradition FCPA Resource Guide Financial Fraud Financial Services Authority FIRREA Forfeiture Hong Kong Securities and Futures Commission (HKSFC) HSBC Investment Advisers Act of 1940 Investment Management Japan Martoma Minimum Contacts Nasdaq Oil & Gas Patriot Act Pharmaceutical Industry Proposed Regulation RBS Remediation RICO Rule 10(b) Russia Shell Corporations Siemens UBS Volcker Rule Voluntary Disclosure Wells Fargo Whistleblower Awards Admissions Akamai Technologies Alstom Anti-Retaliation Provisions Arbitration Auditors Avon Bank Holding Company Bank of New York (BNY) Mellon Benchmark Pricing Benchmarks Beneficial Owner Bernie Madoff Board of Directors Capital Gains Capital Markets Cherry Picking Clawbacks Commodity Pool Conflict Mineral Rules Corporate Culture Criminal Penalties Criminal Sanctions Currency Transaction Reports (CTR) Custody Rule Customer Due Diligence (CDD) Customer Identification Program (CIP) Cyber Attacks Department of Financial Services Derivatives Clearing Organizations Digital Currency Dismissals EMIR European Banking Authority European Commission FATCA FATF Fifth Amendment Financial Crisis Financial Instruments Financial Reporting FinTech Foreign Investment Foreign Subsidiaries Forex Frozen Assets Government Officials Hackers Investment Firms Iran Sanctions Janus Capital Group Jury Verdicts Kokesh v SEC Loans Memorandum of Understanding Money Services Business Motion to Dismiss No-Action Relief OECD Petrobras Public Comment Raj Rajaratnam Rating Agencies Recordkeeping Requirements Registered Investment Advisors Regulatory Agenda Regulatory Standards Reversal Risk Mitigation SAC Capital Scams Securities Traders Settlement Agreements Short Sales Split of Authority State-Owned Enterprises Stress Tests Tender Offers Terrorist Financing Regulations Trump Administration Trust Preferred Securities Trustees UK Brexit Venezuela Waivers Whistleblower Protection Policies Wiretapping Administrative Proceedings Advisory Opinions Aiding and Abetting AIFM AIFMD Anonymity Arms Export Control Act Attorney's Fees Bad Actors BaFin Bank Holding Company Act Banking Crisis BHP Billiton Big Law BlackRock BSA/AML Burden of Proof Business Continuity Plans Capital Requirements Certiorari Citibank Civil Forfeiture Code of Conduct Commodities Traders Commodity Futures Contracts Compelled Testimony Cooperation Initiative Corporate Liability Covered Financial Institutions Credit Ratings Credit Suisse Criminal Liability Cross-Border Transactions CSBS CTA Currency Exchange Data Breach Data Collection Data Privacy Data Protection Data Security Debt Securities Delaware General Corporation Law DHS Direct Access Partners Disciplinary Proceedings Distributed Ledger Technology (DLT) Electronic Blue Sheets Employer Liability Issues Enforcement Authority EU Market Abuse Regulation (EU MAR) Excessive Fees Exchange-Traded Products Executive Compensation Facilitation Payments False Advertising FCMs Federal Prosecutors Fee-Shifting Fees Final Rules Financial Statements Flash Crash Foreign Exchanges Foreign Jurisdictions Form 10-K Fourth Amendment GAAP Gabelli v SEC Gambling GAO Germany GlaxoSmithKline Haiti Hiring & Firing Identity Theft Income Taxes Industry Examinations Initial Coin Offering (ICOs) Insider Information Inspections Insurance Industry Intent IPO ISDA Jury Instructions Jury Trial Justice Scalia KPMG Latin America Legal Entities Liquidity Liquidity Coverage Ratio London Whale Lying Magyar Telekom Mandatory Victim's Restitution Act Margin Calls Margin Requirements Market Access Rule Market Participants Martin Shkreli Material Misstatements Medicaid Member State Merrill Lynch MiFID MiFIR Misleading Statements Money Transfer Money Transmitter Morrison v National Australia Bank Mortgage Lenders Multinationals Municipal Securities Market Mutual Funds Neither Admit Nor Deny Settlements New Legislation New Regulations No-Action Letters Nortek Novartis NPRM NYDFS OCIE Oppenheimer & Co. Pay-To-Play Pension Funds Permanent Injunctions Petition for Writ of Certiorari Price-Fixing Private Funds Private Placements Professional Liability Proposed Amendments Proposed Legislation Public Disclosure Public Officials Publicly-Traded Companies Qui Tam Quid Pro Quo Rabobank Rare Earth Metals Recidivism Red Notices Registration Regulation SHO REIT Residential Capital LLC Restitution Retailers Retirement Plan Risk-Based Approaches Rule 506 Offerings S&P Scienter Sealed Records SEC v Straub Senate Confirmation Hearings Shareholder Litigation Silk Road Sons And Daughters South Korea Spain Sports Subprime Mortgages Subsidiaries Swap Dealers Tax Refunds Teva Pharmaceuticals Theft Third-Party Risk Third-Party Service Provider Token Sales Trade Market Abuse Trade Secrets Transparency Uber Underwriting Visas Volkswagen Wal-Mart Wall Street Warrantless Searches Willful Misconduct 10b5-1 Plans 401k Absolute Privilege Abuse of Power Accomplice Liability Accounting Controls Acquisitions Actual or Constructive Knowledge Administrative Appointments Administrative Authority Advertising Aerospace Agency Deference Aggregation Rules AIFs AIM Aircraft Sales Ally Financial Inc Alternative Investment Funds Alternative Trading Systems Amended Legislation Amended Regulation Analytics Anheuser-Busch Annuities Annunzio-Wylie Anti-Money Laundering Act Anti-Terrorism Financing Antitrust Division Antitrust Investigations Argentina Arrest Artificial Impairment Asia Asia Pacific Asset Valuations Athletes Attorney Malpractice Audit Reports AUSTRAC Australian Securities and Investments Commission Austria Auto Body Shop Auto Insurance Automated Systems Automotive Industry Bank Fraud Act Bank of England Barack Obama BATS Exchange Bear Sterns Benefit Plan Sponsors Best Practices Bid Rigging Bids Billable Hours Bio-Rad Laboratories Biofuel BitLicense BizJet Bristol-Myers Squibb Broken Windows Broker Commissions Brokerage Accounts Brokered Deposits BRRD Business Conduct Standards Bylaws Canadian Securities Administration Capital Formation Capital Losses Capital Markets Union Capital One Carbon Emissions Caremark claim Cartels Casey Anthony Causation CBOE CEA Cease and Desist Orders CEOs Certifications CFDA CFIUS CFOs CFPOA Chapter 7 Chevron Deference Choke Point CIP Claim Construction Class Certification Clear Error Standard Clearing Members CMS Collateral Bars Collusion Color of Right Comment Period Commercial Bankruptcy Commerzbank Common-Interest Privilege Community Reinvestment Act Complex Litigation Compliance Costs Conflicts of Laws Congressional Committees Congressional Intent Congressional Investigations & Hearings Consent Order Consideration Constitutional Challenges Consumer Credit Protection Consumer Lenders Continuing Legal Education Controlled Substances Cooperation Agreement COOs Corporate Criminal Fines Corporate Executives Corporate Fines Corporate Gifts Corporate Issuers Corporate Structures Corporate Taxes Corporate Veil COSO Cost Allocation Counter-Terrorist Cramdown CRD IV Directive Crime Victims Criminal Defense Criminal Procedure Criminal Records Crisis Management Cryptocurrency CSRC Customer Funds Protection Cyber Crimes Cyber Incident Reporting Cyber Threats Cyberforensics D&O Insurance DaimlerAG Damages DCMs De Minimis Claims De Novo Standard of Review Deadlines Debt Financing Defense Strategies Deloitte Demand Futility Deposit Advances Derivative Suit Destruction of Evidence Diebold Inc Digital Assets Directors Disclosure Discussion Draft Disqualification Distribution Rules Dividends Divorce DMO Documentation DOL Due Process E-Commerce EB-5 Regional Centers EBA EEA EFRP EFTs Egypt Election Results Electronics Elizabeth Warren ELTIF Embezzlement Emissions Trading System End-Users Energy Exploration Energy Market Energy Sector Enron Equal Protection Equity Markets Eric Holder ERISA Ernst & Young ETFs EU Directive EURIBOR European Supervisory Authorities (ESAs) Examiners Exemptions Exports Extensions Extortion Facebook Failure To Disclose Fair Lending Fake News Falsified Documents Fantasy Sports FATCA Timeline FDA Federal Budget Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 Federal Contractors Federal Election Commission (FEC) Federal Jurisdiction Federal Rules of Civil Procedure Fédération Internationale de Football Association (FIFA) FERC FHFA Filing Requirements Financial CHOICE Act Financial Products Financial Promotions Financial Restatements Financial Services Act Firearms First Amendment First Derivative Traders Fishing Industry Fixing America’s Surface Transportation Act (FAST Act) FLIR System Fokker Football Foreign Affiliates Foreign Currency Foreign Defendants Foreign Direct Investment Foreign Financial Accounts Foreign Securities Forensic Accounting Forgery Form SD Former Employee Forum Selection France Fraud-on-the-Market Fraudulent Charges Fraudulent Concealment Fraudulent Inducement Fraudulent Wire Transfers FRB FSA FSOC FTC Fund Transfer Controls General Solicitation George Canellos Global Dealmaking Goldman Sachs Goodwill Goodyear Governor Cuomo Governor McDonnell Grand Juries Grand Theft Green Cards Guaranteed Introducing Brokers Guarantors Guidance Update Gun Laws Habeas Corpus Health Net Healthcare Fraud Hedging Hewlett-Packard Hillary Clinton Hilton Hitachi HKEx HM Treasury Hobbs Act Hong Kong Stock Exchange HUD Human Resources Professionals IBM ICE Illegal Imports Illegal Trading Immigrant Investment Visas Immigrant Investor Program Immigrants Incentives Independent Counsel India Inducement Information Security Information Sharing Infrastructure Injunctive Relief Insolvency Intent to Cancel Interest Rate Adjustments Interest Rates International Litigation Internet of Things Interstate Commerce Investment Advisory Agreements Investment Banks Investment Companies Investment Portfolios Investment Schemes Investor Protection ISDAfix ISS ITAR iTraxx CDS indices Jamie Dimon Job Creation Johnson & Johnson Joint Venture Jurisdiction Justice Department Kastigar Hearings KBR (formerly Kellogg Brown & Root) Know Your Customers Korea Kuwait Law Enforcement Layering Leaked Information Legal Advice Privilege Legal Perspectives Legislative Agendas Lehman Brothers Leidos Inc v Indiana Public Retirement System Leverage Ratio Liability Insurance Liquidation Listing Standards Major Swap Participants Malta Mandatory Clearing Requirements Marital Assets Marital Communications Privilege Markups Mass Shootings Match Fixing Materiality McDonnell v US McGraw Hill Medical Devices Medicare Mergers MetLife MF Global Micro Entity Status Mineral Leases Mining MLD4 Monetary Authority of Singapore Money Market Funds Monsanto Moody's MSRB Municipal Advisers Municipal Employees Municipalities NAFTA National Bank of Ukraine NAV NCUA Negligent Misrepresentation Negotiations NEP Net Investment Income New Guidance NHL NIST Non-GAAP Financial Measures Non-Resident Aliens NSA NYSE Ocasio v United States Offering Statements Offerings Official Act Offshore Companies Olympics Omnicare Online Gaming Ontario Securities Commission (OSC) Operation Broken Gate Opinion Letter Opt-Outs Organized Crime OTC Over-the-Counter Sales Panama Papers Patent Litigation Patents Payday Loans Penny Stocks Personal Property Personally Identifiable Information Petition For Rehearing Pharmaceutical Patents Phishing Scams Physician Medicare Reimbursements Plan Administrators Plea Agreements Policies and Procedures Political Appointments Political Contributions Political Corruption Portfolio Companies Position Limits Predictive Analytics Prejudgment Interest Prepaid Payment Products Presidential Appointments PricewaterhouseCoopers Prison Private Property Private Utility Privileged Documents Probable Cause Proceeds of Crime Act 2002 (POCA) Professional Misconduct Professional Negligence Profits Promissory Notes Proof of Loss Prospectus Provincial Capital Markets Act Proxy Season Proxy Statements Prudential Prudential Standards PSC Amendment Regulations Public Corruption Public Offerings Pyramid Schemes Qualcomm Qualified Mortgage Rule Rajat Gupta Ralph Lauren Ranieri Partners Ransomware Ratings Reaffirmation Record Retention Red Flags Rule Redaction Registration Requirement Registration Statement Regulation Regulation AT Regulation FD Regulation MAR Regulation S-P Related Parties Remedies REMIT Repeal Request For Information Reserve Resignation RESPA Responsible Corporate Officer Doctrine Retail Investors Retaliation Retroactive Application Right to Privacy Ripple Risk Alert Risk Retention RMB Bonds Rolls-Royce Royal Canadian Mounted Police