Securities Business Organization Criminal Law

SEC Criminal Prosecution DOJ Enforcement Actions FCPA Insider Trading Compliance Bribery Securities Fraud Personal Benefit Illegal Tipping Anti-Corruption US v Salman White Collar Crimes UK SCOTUS Popular US v Newman Dirks v SEC Fraud Indictments Criminal Convictions Financial Conduct Authority (FCA) Corruption Misappropriation Wire Fraud Cooperation Money Laundering Offering Fraud Price Manipulation Whistleblowers Yates Memorandum CFTC Confidential Information Criminal Conspiracy Deferred Prosecution Agreements Material Nonpublic Information Personal Liability Spoofing Corporate Counsel Disgorgement Securities Exchange Act Chief Compliance Officers FINRA Guilty Pleas Tippees Tippers Dodd-Frank Internal Controls Securities Violations Anti-Bribery Corporate Misconduct Government Investigations Hedge Funds Internal Investigations Criminal Investigations Federal Pilot Programs Serious Fraud Office Voluntary Disclosure Appeals Attorney Generals Conflicts of Interest Corporate Governance Ethics Federal Sentencing Guidelines Financial Fraud Misrepresentation Settlement Statute of Limitations Attorney-Client Privilege Board of Directors China Commodities Corporate Crimes Individual Accountability Non-Prosecution Agreements Securities Litigation Subsidiaries Trump Administration Anti-Money Laundering Audits Canada Economic Sanctions False Statements FCPA Resource Guide Market Manipulation Acquittals Bank Secrecy Act Books & Records Brazil Breach of Duty Corporate Officers Export Controls FBI Fiduciary Duty FinCEN Fines Foreign Official Jury Verdicts Kokesh v SEC OECD OFAC Pharmaceutical Industry Public Comment Publicly-Traded Companies Remediation Shareholders Suspicious Activity Reports (SARs) Teva Pharmaceuticals Unregistered Securities Whistleblower Awards World Bank Acquisitions AML/CFT Bitcoin Broker-Dealer CEOs Convictions Corporate Culture Corporate Investigations Declination Defense Contracts Deutsche Bank Due Diligence Enforcement Evidence Hong Kong Securities and Futures Commission (HKSFC) HSBC JPMorgan Chase Market Abuse MiFID II Ponzi Scheme Presidential Appointments Reporting Requirements Risk Assessment Risk Management RMBS Self-Reporting Singapore Wal-Mart Administrative Proceedings Airbus Barclays Beneficial Owner BlackRock Block Trades C-Suite Executives Cooperation Agreement Corporate Executives Corporate Fraud Cryptocurrency Cybersecurity Czech Republic D&O Insurance Dark Pool Disclosure Requirements Disruptive Trading Practices Enforcement Statistics Espionage EU False Claims Act (FCA) Financial Crimes Financial Services Industry Forfeiture France Futures India Investigations Investment Adviser Judge Rakoff Jury Trial Kickbacks Libor Martin Shkreli Mergers Mexico NAFTA Pay-To-Play Penalties Plea Agreements Portfolio Managers Pump and Dump Ralph Lauren Rolls-Royce Sanction Violations Securities Settlement Agreements Shareholder Litigation Suspensions & Debarments Swaps Telecommunications Training UK Bribery Act Administrative Hearings Advisory Opinions Aiding and Abetting ALJ Allianz Alstom Argentina Auditors Australia Australian Securities and Investments Commission Bank Fraud Burden of Proof Capital Formation Capital Markets CFPOA Civil Forfeiture Civil Monetary Penalty Class Action CME Corporate Fines Corporations Code Counterparties Criminal Sanctions Cross-Border Delaware General Corporation Law Derivative Suit Derivatives Clearing Organizations Digital Currency Disciplinary Proceedings Disclosure Distributed Ledger Technology (DLT) DPA EB-5 Electronic Blue Sheets Employer Liability Issues Energy Sector EU Directive Excessive Fees Fake News FCMs Federal Prosecutors Fédération Internationale de Football Association (FIFA) Fees Financial Crisis Financial Institutions Foreign Exchanges Foreign Nationals Forum Selection GAAP General-Business GlaxoSmithKline Goldman Sachs Hackers Halliburton High Frequency Trading Hong Kong IBM Indemnification Injunctions International Organization for Standardization International Trade Investment Fraud Investment Funds IRS Margin Requirements Market Access Rule Materiality Meals-Gifts-and Entertainment Rules Nasdaq New Guidance Novartis Nu Skin NYSE PCAOB Pension Funds Policies and Procedures Political Corruption Professional Misconduct Prudential Regulation Authority Regulation SHO Retaliation Russia Sanctions Sapin II SDN List Search Warrant Securities Act of 1933 Securities Traders Selective Waivers Senate Confirmation Hearings Sentencing Shell Corporations Siemens South Africa Stocks TARP Third-Party Risk Token Sales TRACE Ukraine Unregistered Brokers Upjohn Warnings Volcker Rule Whistleblower Protection Policies Willful Misconduct Work Product Privilege Accounting Accounting Controls Administrative Appointments Administrative Resignation Admissions Advancement Africa Aggregation Rules Airlines Alberta Securities Commission Algorithmic Trading Alternative Trading Systems Amended Regulation American Bar Association (ABA) Anheuser-Busch Anti-Retaliation Provisions Antitrust Division Appointments Clause Apportionment Arbitration Arms Export Control Act Asset Management Asset Valuations AstraZeneca Attorney's Fees Audit Reports Auditor Independence Austria Automated Systems Aviation Industry Avon BaFin Balance Sheets Bank of England Bank of New York (BNY) Mellon Banking Sector Banks Basel Committee Basel III Bear Sterns Belgium Benchmark Pricing Benchmarking Benchmarks Bernie Madoff BHP Billiton Bids Blockchain Boeing BP Breach of Trust Broken Windows Broker Commissions Brokerage Accounts Business Conduct Standards Business Continuity Plans Business Development Business Partners BVI Business Companies Bylaws Canadian Securities Administration Capital Gains Capital Requirements Cardinal Health Caremark claim CBOE Cease and Desist Cease and Desist Orders Certifications CFIUS CFOs CFPB Chamber of Commerce Cherry Picking Chile Churning CIP Citigroup Civil Investigation Demand Clean Companies Act Clearing Members CMBS Comment Period Commercial Bankruptcy Commodities Exchange Act Competition Confidential Communications Conflict Mineral Rules Conspiracies Constitutional Challenges Contract Drafting Cooperation Initiative COOs Corporate Criminal Fines Corporate Gifts Corporate Integrity Agreement Corporate Issuers Corporate Liability Corporate Monitoring Corporate Social Responsibility Corporate Structures Corporate Veil COSO Cost Allocation Cost-Benefit Analysis Covered Financial Institutions Credit Suisse Criminal Liability Criminal Penalties Criminal Procedure Crowdfunding CSBS Cuba Custody Rule Customer Due Diligence (CDD) Customer Identification Program (CIP) Cyber Attacks Damages DCMs Debt Securities Department of Financial Services Depositions Digital Realty Trust Inc v Paul Somers Discovery Discovery Rule Distribution Rules Dividends Donald Trump DreamWorks Due Process Duty to Defend EFRP Eli Lilly Elizabeth Warren Emerging Markets EMIR Employee Training En Banc Review Enforcement Authority Enterprise Risks Environmental Crimes EPA Ernst & Young European Securities and Markets Authority (ESMA) Evidence Suppression Executive Compensation Expedia Expert Testimony Extortion Extractive Industry Transparency Rule Extradition Exxon Mobil Facilitation Payments Failure To Disclose False Advertising False Reporting FATCA FATF Federal Budget Federal Contractors Federal Rules of Evidence Fédération Internationale de Football Association (FIFA) FERC Fifth Amendment Filing Requirements Filip Factors Final Rules Financial Promotions Financial Reporting Financial Restatements Financial Services Act Financial Services Authority Financial Statements Financial Transactions Finland FinTech Fitbit Fixing America’s Surface Transportation Act (FAST Act) FOIA Foreign Banks Foreign Corporations Foreign Currency Foreign Narcotics Kingpin Sanctions Foreign Private Issuers Foreign Securities Foreign Subsidiaries Forex Form 10-K Former Directors Fourth Amendment Fraudulent Charges Freeze Order FSMA FTC Fund Managers Fund Transfer Controls Gabelli v SEC Gambling General Licenses Germany Gifts Global Standards Good Faith Goodyear Government Officials Governor Cuomo Haiti Hart-Scott-Rodino Act Health Care Providers Health Net Heinz Hitachi HM Treasury Hong Kong Stock Exchange Hospitality Programs Hungary Indemnification Clauses Independent Boards Independent Counsel Inducement Information Reports Initial Coin Offering (ICOs) Initial Public Offerings Insider Information Insurance Litigation Interest Rates Internal Reporting Internships Interstate Commerce Investment Advisers Act of 1940 Investment Banks Investment Firms Investment-Only Exemption Investor Protection Investors Iran Sanctions ISDA ISS JOBS Act Joint Venture Journalism Jurisdiction KBR (formerly Kellogg Brown & Root) Korea KPMG Kuwait Layering Legal Entities Leidos Inc v Indiana Public Retirement System Leniency Programs Licenses Liquidity Listing Standards Magyar Telekom Malaysia Manufacturers Margin Calls Markups Meal and Entertainment Expenditures Media Leaks Medicaid Medical Devices Medicare Medicare Advantage Memorandum of Understanding Mens Rea Merrill Lynch MetLife MF Global MiFID Minerals Mining Misleading Statements Mismanagement MLD4 Money Services Business Money Transfer Monsanto Mortgage Lenders Mortgage-Backed Securities Motion to Dismiss Multidistrict Litigation Multinationals Municipal Bonds Natural Gas Negligence Negligent Misrepresentation Negotiations New Legislation Newman No-Action Relief Non-GAAP Financial Measures NYDFS Occupational Fraud OCIE Odebrecht Offering Statements Offshore Drilling Offshore Payments OIG Omissions Ontario Securities Commission (OSC) Operation Broken Gate Opioid Oracle Panama Papers Parent Corporation Payroll Taxes Penny Stocks Personal Jurisdiction Petition For Rehearing Plea Negotiations Position Limits Predictive Analytics Preliminary Injunctions Private Equity Firms Private Equity Funds Private Funds Privilege Waivers Promissory Notes Prospectus Proxy Statements Public Employees Putative Class Actions Qualcomm Quid Pro Quo Raj Rajaratnam Rare Earth Metals Record Retention recordkeeping Recordkeeping Requirements Registration Requirement Regulation AT Regulation MAR Regulation S-K Regulatory Standards REIT Request For Information Reserve Responsible Person Liability Retail Investors Risk Alert Risk Capital Risk Mitigation RMB Bonds Rule 10b-5 Rule 11 SAC Capital SAP SE Sarbanes-Oxley Scienter Secretary of State Section 10(b) Section 7 of UKBA Security-Based Swaps Self-Dealing Self-Incrimination Senior Managers Settlement Negotiations Shareholder Activism Shell Oil Short Selling Sixth Amendment South Korea Sovereign Wealth Funds Special Committees Spoliation State Legislatures State Street Sterling Overnight Index Average (SONIA) STOCK Act Stock Exchange Stock Promoters Stock Trades Strategic Enforcement Plan Strict Liability Successor Liability Supreme Court of Canada Surveys Suspensions Swap Dealers Tax Avoidance Tax Court Tax Liability Tax Refunds Tender Offers Terrorism Funding Terrorist Financing Regulations Texas Thailand Third-Party Third-Party Relationships Third-Party Service Provider Tone At The Top Trade Market Abuse Trade Secrets Transparency Transparency International Twitter U.S. Attorney UK Brexit Uncleared Swaps Unicorns Uniform Law Commission (ULC) United Airlines Universal Health Services Inc v United States ex rel Escobar US v Yates Uzbekistan Vendor Contacts Venezuela Verizon Vietnam Virtual Currency Voting Securities Wealth Management Wells Fargo Wells Notice Wire Transfers Working Groups Wrongful Termination Yahoo! Zappos