Finance & Banking Securities Criminal Law

SEC Enforcement Actions Insider Trading Criminal Prosecution DOJ Securities Fraud FCPA Compliance Fraud Popular UK CFTC Bribery Enforcement White Collar Crimes Illegal Tipping Securities US v Newman Financial Conduct Authority (FCA) Anti-Corruption FINRA Personal Benefit Hedge Funds Misappropriation Money Laundering Anti-Money Laundering EU Investment Adviser Corruption Deferred Prosecution Agreements Material Nonpublic Information Spoofing Bitcoin FinCEN SCOTUS Banks Broker-Dealer Chief Compliance Officers Dodd-Frank Whistleblowers Libor Wire Fraud Securities Exchange Act Indictments Internal Investigations Market Manipulation Virtual Currency Bank Secrecy Act China Criminal Convictions Financial Institutions Investment Funds Criminal Conspiracy Portfolio Managers Serious Fraud Office Securities Litigation Price Manipulation Banking Sector Ponzi Scheme US v Salman Appeals Australia Internal Controls Offering Fraud Rule 10b-5 Swaps Audits Confidential Information Conflicts of Interest Securities Violations Breach of Duty Guilty Pleas Anti-Bribery Cybersecurity Disgorgement Ethics Investors Sanctions SFO Tippees UK Bribery Act Blockchain Convictions European Securities and Markets Authority (ESMA) False Statements Financial Markets Hong Kong Investigations Mary Jo White Non-Prosecution Agreements OFAC PCAOB Reporting Requirements Self-Reporting C-Suite Executives Civil Monetary Penalty Conspiracies Criminal Investigations Deutsche Bank Dirks v SEC Due Diligence Economic Sanctions FBI Government Investigations JPMorgan Chase Misrepresentation Municipal Bonds Section 10(b) Statute of Limitations Suspicious Activity Reports (SARs) Tippers Administrative Hearings Canada Commodities Commodities Exchange Act Cooperation Corporate Counsel Corporate Governance False Claims Act (FCA) Federal Reserve Fiduciary Duty Market Abuse Risk Management RMBS Sentencing Settlement Shareholders Trump Administration U.S. Treasury Unregistered Securities Cryptocurrency Disclosure Requirements Export Controls Financial Crimes HSBC OCC Risk Assessment Russia Acquittals Asset Freeze Asset Management Bank Fraud Barclays Books & Records Declination Dell Federal Sentencing Guidelines Financial Regulatory Reform France Individual Accountability Initial Coin Offering (ICOs) Iran Sanctions IRS Kickbacks Mail Fraud MiFID II Morgan Stanley Mortgages Non-Public Information Personal Liability Private Equity Pump and Dump Sarbanes-Oxley Stocks Strategic Enforcement Plan Unregistered Brokers Yates Memorandum Brokers Class Action Collateralized Debt Obligations Corporate Misconduct Crowdfunding Derivatives Digital Currency EB-5 Extraterritoriality Rules FDIC Federal Pilot Programs Financial Services Industry Fines Foreign Banks Foreign Nationals FSMA Futures Investment Fraud JOBS Act Judge Rakoff Nvidia Obstruction of Justice Prudential Regulation Authority Securities Act of 1933 Settlement Agreements Tax Evasion Ukraine Voluntary Disclosure Algorithmic Trading AML/CFT Attorney Generals Block Trades Capital Markets CFPB CME Commodity Pool Corporate Crimes CPO Cross-Border Disruptive Trading Practices Extradition Financial Fraud FinTech Foreign Investment Foreign Official Fund Managers High Frequency Trading Investment Advisers Act of 1940 KPMG Meals-Gifts-and Entertainment Rules Mens Rea Mortgage-Backed Securities National Security NFA Penalties Personal Jurisdiction Security-Based Swaps Terrorism Funding UBS World Bank Acquisitions Administrative Proceedings Aiding and Abetting Attorney-Client Privilege Bank of America Basel Committee Beneficial Owner Best Management Practices Board of Directors Bonds Brazil Citigroup Corporate Culture Corporate Fraud Corporate Officers Criminal Penalties Criminal Sanctions Cuba Dark Pool Department of Financial Services Distributed Ledger Technology (DLT) Email EU Market Abuse Regulation (EU MAR) European Commission Evidence Executive Orders FCPA Resource Guide Financial Services Authority FIRREA Forex Forfeiture Hackers Hong Kong Securities and Futures Commission (HKSFC) Investment Firms Investment Management Japan Kokesh v SEC Martoma Minimum Contacts Motion to Dismiss Nasdaq NYDFS Oil & Gas Patriot Act Permanent Injunctions Pharmaceutical Industry Policies and Procedures Proposed Regulation Publicly-Traded Companies Rating Agencies RBS Remediation Restitution Retirement Plan RICO Rule 10(b) Scams Shell Corporations Siemens South Korea Split of Authority Subsidiaries Suspensions & Debarments Token Sales UK Brexit Venezuela Volcker Rule Wells Fargo Whistleblower Awards Admissions Akamai Technologies Alstom Anonymity Anti-Retaliation Provisions Arbitration Auditors Avon BaFin Bank Holding Company Bank of New York (BNY) Mellon Benchmark Pricing Benchmarks Benefit Plan Sponsors Bernie Madoff Best Practices BIS BSA/AML Capital Gains Cease and Desist Orders Certiorari Clawbacks Columbia Commodities Traders Conflict Mineral Rules Constitutional Challenges Criminal Liability Cross-Border Transactions Currency Transaction Reports (CTR) Custody Rule Customer Due Diligence (CDD) Customer Identification Program (CIP) Cyber Attacks Data Breach Derivatives Clearing Organizations Digital Securities Dismissals DOL Ecuador EMIR European Banking Authority Excessive Fees Executive Compensation FATCA FATF Fifth Amendment Financial Crisis Financial Instruments Financial Reporting Financial Statements Foreign Exchanges Foreign Subsidiaries Frozen Assets Germany Government Officials Human Rights Janus Capital Group Jury Verdicts Loans Magnitsky Act Memorandum of Understanding Misleading Statements Money Services Business Municipal Securities Market No-Action Relief Odebrecht OECD Pay-To-Play Peru Petition for Writ of Certiorari Petrobras Power Infrastructure Proposed Legislation Public Comment Raj Rajaratnam Recordkeeping Requirements Registered Investment Advisors Registration Regulatory Agenda Regulatory Standards Reversal Risk Mitigation SAC Capital Securities Traders Short Sales Smart Contracts State-Owned Enterprises Stress Tests Tender Offers Terrorist Financing Regulations Transparency Trust Preferred Securities Trustees Unfair or Deceptive Trade Practices US Department of State Waivers Wal-Mart Whistleblower Protection Policies Wiretapping Advisory Opinions AIFM Alternative Investment Fund Managers Directive (AIFMD) Argentina Arms Export Control Act Attorney's Fees Bad Actors Bank Holding Company Act Banking Crisis Belgium BHP Billiton Big Law BitLicense BlackRock Burden of Proof Business Continuity Plans Canadian Securities Administration Capital Requirements Cartels CEA Chapter 7 Cherry Picking Citibank Civil Forfeiture Code of Conduct Commodity Futures Contracts Compelled Testimony Cooperation Initiative Corporate Criminal Fines Corporate Issuers Corporate Liability Covered Financial Institutions Credit Ratings Credit Suisse CSBS CTA CTFC Currency Exchange Data Collection Data Privacy Data Protection Data Security Debt Securities Delaware General Corporation Law DHS Direct Access Partners Disciplinary Proceedings Disclosure Documentation Electronic Blue Sheets Employer Liability Issues Enforcement Authority ERISA ETFs EU Directive Exchange-Traded Products Exports Facilitation Payments Failure To Disclose False Advertising FCMs Federal Prosecutors Fédération Internationale de Football Association (FIFA) Fee-Shifting Fees Final Rules First Amendment Flash Crash Foreign Currency Foreign Jurisdictions Form 10-K Fourth Amendment GAAP Gabelli v SEC Gambling GAO GlaxoSmithKline Haiti Hiring & Firing Identity Theft Income Taxes Industry Examinations Insider Information Inspections Insurance Industry Intent IPO ISDA Joint Venture Jurisdiction Jury Instructions Jury Trial Justice Scalia 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 Member State Mergers Merrill Lynch MiFID MiFIR Money Transfer Money Transmitter Morrison v National Australia Bank Mortgage Lenders MSRB Multinationals Municipal Advisers Mutual Funds Neither Admit Nor Deny Settlements New Guidance New Legislation New Regulations No-Action Letters Nortek Novartis NPRM OCIE Oppenheimer & Co. Pension Funds Political Appointments Price-Fixing Private Funds Private Placements Professional Liability Proposed Amendments Public Disclosure Public Officials Qui Tam Quid Pro Quo Rabobank Rare Earth Metals Recidivism Red Notices Regulation SHO REIT Residential Capital LLC Retailers Risk-Based Approaches Rolls-Royce Rule 506 Offerings S&P Sanction Violations Sapin II Scienter Sealed Records SEC v Straub Section 162(f) Section 17(a) Self-Disclosure Requirements Senate Confirmation Hearings Shareholder Litigation Shell Oil Silk Road Sons And Daughters Spain Sports Subprime Mortgages Summary Judgment Swap Dealers Tax Deductions Tax Refunds Teva Pharmaceuticals Theft Third-Party Risk Third-Party Service Provider Trade Market Abuse Trade Secrets Trading Platforms Uber UK Criminal Finances Act 2017 Underwriting Vagueness Visas Volkswagen Wall Street Warrantless Searches Willful Misconduct 10b5-1 Plans 401k Absolute Privilege Abuse of Power Accomplice Liability Accounting Controls Actual or Constructive Knowledge Administrative Appointments Administrative Authority Advertising Aerospace Agency Deference Aggregation Rules Agricultural Sector AIFs AIM Airbus Aircraft Sales ALJ Ally Financial Inc Alternative Investment Funds Alternative Trading Systems Amended Legislation Amended Regulation Analytics Anheuser-Busch Annuities Annunzio-Wylie Anti-Money Laundering Act Anti-Fraud Provisions Anti-Terrorism Financing Antitrust Division Antitrust Injuries Antitrust Investigations Appointments Clause 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 Bankruptcy Code Barack Obama BATS Exchange Bear Sterns Best Interest Contract Exemptions Bid Rigging Bids Billable Hours Bio-Rad Laboratories Biofuel BizJet Blocked Entities Blue Sky Laws Bristol-Myers Squibb Broken Windows Broker Commissions Brokerage Accounts Brokered Deposits BRRD Business Conduct Standards Business Partners Buyers Bylaws CAATSA Capital Formation Capital Losses Capital Markets Union Capital One Carbon Emissions Caremark claim Casey Anthony Causation CBOE CEOs Certifications CFDA CFIUS CFOs CFPOA Chevron Deference Choke Point Churning CIP Claim Construction Class Certification Clear Error Standard Clearing Members CMBS CMS Collateral Bars Collateral Estoppel Collusion Color of Right Comment Period Commercial Bankruptcy Commerzbank Common-Interest Privilege Community Reinvestment Act Competition Complex Litigation Compliance Costs Conflicts of Laws Congressional Committees Congressional Intent Congressional Investigations & Hearings Consent Order Consideration Consumer Credit Protection Consumer Lenders Continuing Legal Education Cooperation Agreement COOs Corporate Executives Corporate Fines Corporate Gifts Corporate Structures Corporate Taxes Corporate Veil COSO Cost Allocation Counter-Terrorist Cramdown CRD IV Directive Credit Cards Crime Victims Criminal Defense Criminal Procedure Criminal Records Crisis Management Cross Motions CSRC Customer Funds Protection Customs and Border 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 Decertification Defense Strategies Deloitte Demand Futility Department of the Interior Deposit Advances Derivative Suit Destruction of Evidence Diebold Inc Digital Assets Directors Discussion Draft Disqualification Distribution Rules Dividends Divorce DMO Double Recovery DPA Due Process E-Commerce EB-5 Regional Centers EBA EBSA EEA EFRP EFTs Egypt Election Results Electronics Elizabeth Warren ELTIF Embezzlement Emissions Trading System Employee Benefits End-Users Energy Exploration Energy Market Energy Sector Enron Enterprise Risks Equal Protection Equity Markets Eric Holder Ernst & Young Ether EURIBOR European Supervisory Authorities (ESAs) Examiners Exemptions Extensions Extortion Extraction Payment Disclosure Rule Extractive Industry Transparency Rule Facebook Fair Lending Fake News False Reporting Falsified Documents Fantasy Sports FATCA Timeline FCPA Guidance 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 FERC FHFA Fiduciary Rule Filing Requirements Financial CHOICE Act Financial Products Financial Promotions Financial Restatements Financial Services Act Financial Transactions Firearms First Derivative Traders Fishing Industry Fixing America’s Surface Transportation Act (FAST Act) FLIR System Fokker Football Foreign Affiliates Foreign Corporations Foreign Defendants Foreign Direct Investment Foreign Financial Accounts Foreign Securities Forensic Accounting Forgery Form SD Former Employee Forum Selection Fraud-on-the-Market Fraudulent Charges Fraudulent Concealment Fraudulent Inducement Fraudulent Wire Transfers FRB FSA FSOC FTC Fund Transfer Controls General Data Protection Regulation (GDPR) General Solicitation George Canellos Gifts Global Dealmaking Goldman Sachs Goodwill Goodyear Government Agencies 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 Howey HUD Human Resources Professionals IBM ICE Illegal Imports Illegal Trading Immigrant Investment Visas Immigrant Investor Program Immigrants Incentives Incident Response Plans Independent Counsel India Inducement Information Security Information Sharing Infrastructure Initial Public Offerings Injunctions Injunctive Relief Insolvency Intent to Cancel Interest Rate Adjustments Interest Rates Internal Revenue Code (IRC) International Litigation Internet of Things Interstate Commerce Investment Advisory Agreements Investment Banks Investment Companies Investment Company Act of 1940 Investment Contract Investment Portfolios Investment Schemes Investor Protection ISDAfix Israel ISS ITAR iTraxx CDS indices Jamie Dimon Job Creation Johnson & Johnson Jones Act 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 Legislative Amendments Lehman Brothers Leidos Inc v Indiana Public Retirement System Leverage Ratio Liability Insurance Liquidation Listing Standards Lucia v SEC Major Swap Participants Malta Mandatory Clearing Requirements Marital Assets Marital Communications Privilege Markups Mass Shootings Match Fixing Material Misrepresentation Materiality McDonnell v US McGraw Hill Medicaid Medical Devices Medicare Merger Controls MetLife MEWAs Mexico MF Global Micro Entity Status Mineral Leases Mining Minority Shareholders Misallocation of Funds MLD4 Monetary Authority of Singapore Money Market Funds Monsanto Municipal Employees Municipal Securities Issuers Municipalities NAFTA National Bank of Ukraine NAV NCUA Negligent Misrepresentation Negotiations NEP Net Investment Income Netherlands NHL NIST Non-Disclosure Agreement Non-GAAP Financial Measures Non-Resident Aliens Nondischargeable Debts Notice of Emergency Action NSA NYSE Ocasio v United States Offering Statements Offerings Official Act Offshore Companies Offshore Payments