Securities Finance & Banking 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 Financial Conduct Authority (FCA) Securities FINRA Hedge Funds Personal Benefit Anti-Corruption Money Laundering Deferred Prosecution Agreements EU Investment Adviser Material Nonpublic Information Misappropriation Anti-Money Laundering Banks Broker-Dealer Chief Compliance Officers Libor SCOTUS Spoofing Corruption Dodd-Frank FinCEN Wire Fraud Whistleblowers Indictments Market Manipulation Securities Exchange Act Bitcoin China Investment Funds Portfolio Managers Bank Secrecy Act Criminal Conspiracy Internal Investigations Securities Litigation Serious Fraud Office Criminal Convictions Price Manipulation Financial Institutions US v Salman Virtual Currency Australia Banking Sector Offering Fraud Ponzi Scheme Appeals Audits Confidential Information Conflicts of Interest Rule 10b-5 Swaps Internal Controls Securities Violations Breach of Duty Tippees Convictions Disgorgement Ethics European Securities and Markets Authority (ESMA) False Statements Hong Kong Investigations Mary Jo White Non-Prosecution Agreements Sanctions UK Bribery Act C-Suite Executives Conspiracies Dirks v SEC Financial Markets Government Investigations Guilty Pleas Investors JPMorgan Chase Misrepresentation Reporting Requirements Self-Reporting Suspicious Activity Reports (SARs) Tippers Administrative Hearings Civil Monetary Penalty Cooperation Corporate Counsel Corporate Governance Cybersecurity Deutsche Bank Federal Reserve Municipal Bonds PCAOB Risk Management RMBS Section 10(b) Sentencing Shareholders Statute of Limitations Anti-Bribery Canada Commodities False Claims Act (FCA) FBI Market Abuse OCC Risk Assessment Settlement SFO U.S. Treasury Unregistered Securities Acquittals Asset Management Bank Fraud Barclays Blockchain 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 Books & Records Brokers Class Action Collateralized Debt Obligations Commodities Exchange Act Crowdfunding Declination Disclosure Requirements EB-5 Extraterritoriality Rules FDIC Federal Pilot Programs Foreign Banks Foreign Nationals HSBC Investment Fraud JOBS Act Judge Rakoff Kickbacks Nvidia Private Equity Securities Act of 1933 Tax Evasion Algorithmic Trading Attorney Generals CFPB CME Corporate Crimes CPO Cross-Border Derivatives Disruptive Trading Practices Economic Sanctions Financial Fraud 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 Russia Sarbanes-Oxley Security-Based Swaps Terrorism Funding Ukraine AML/CFT Asset Freeze Attorney-Client Privilege Bank of America Basel Committee Beneficial Owner Best Management Practices Block Trades Bonds Brazil Citigroup Corporate Fraud Corporate Misconduct Corporate Officers Dark Pool Digital Currency Email Evidence Export Controls Extradition FCPA Resource Guide Financial Services Authority FinTech FIRREA Forex Forfeiture Hong Kong Securities and Futures Commission (HKSFC) Initial Coin Offering (ICOs) Investment Advisers Act of 1940 Investment Firms Investment Management Japan Martoma Minimum Contacts Nasdaq Oil & Gas Patriot Act Pharmaceutical Industry Proposed Regulation Publicly-Traded Companies RBS Remediation RICO Rule 10(b) Shell Corporations Siemens Token Sales 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 Bernie Madoff Board of Directors Capital Gains Capital Markets Cherry Picking Clawbacks Commodity Pool Conflict Mineral Rules Corporate Culture Criminal Penalties Criminal Sanctions Cryptocurrency Currency Transaction Reports (CTR) Custody Rule Customer Due Diligence (CDD) Customer Identification Program (CIP) Cyber Attacks Department of Financial Services Derivatives Clearing Organizations Dismissals Distributed Ledger Technology (DLT) EMIR European Banking Authority European Commission Excessive Fees FATCA FATF Fifth Amendment Financial Crisis Financial Instruments Financial Reporting Financial Statements Foreign Exchanges Foreign Investment Foreign Subsidiaries France Frozen Assets Government Officials Hackers Iran Sanctions Janus Capital Group Jury Verdicts Kokesh v SEC Loans Memorandum of Understanding Money Services Business Motion to Dismiss No-Action Relief NYDFS OECD Pay-To-Play 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 South Korea Split of Authority State-Owned Enterprises Stress Tests Subsidiaries Tender Offers Terrorist Financing Regulations Transparency 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 Canadian Securities Administration Capital Requirements Certiorari Citibank Civil Forfeiture Code of Conduct Commodities Traders Commodity Futures Contracts Compelled Testimony Cooperation Initiative Corporate Criminal Fines Corporate Issuers 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 Electronic Blue Sheets Employer Liability Issues Enforcement Authority EU Directive EU Market Abuse Regulation (EU MAR) Exchange-Traded Products Executive Compensation Facilitation Payments False Advertising FCMs Federal Prosecutors Fee-Shifting Fees Final Rules Flash Crash Foreign Jurisdictions Form 10-K Fourth Amendment GAAP Gabelli v SEC Gambling GAO Germany GlaxoSmithKline Haiti Hiring & Firing Identity Theft Income Taxes Industry Examinations 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 OCIE Oppenheimer & Co. 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 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 Rolls-Royce Rule 506 Offerings S&P Scienter Sealed Records SEC v Straub Senate Confirmation Hearings Shareholder Litigation Shell Oil Silk Road Smart Contracts Sons And Daughters Spain Sports Subprime Mortgages Swap Dealers Tax Refunds Teva Pharmaceuticals Theft Third-Party Risk Third-Party Service Provider Trade Market Abuse Trade Secrets Trading Platforms Uber Underwriting Unfair or Deceptive Trade Practices 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 Agricultural Sector AIFs AIM Airbus 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 Belgium Benefit Plan Sponsors Best Practices Bid Rigging Bids Billable Hours Bio-Rad Laboratories Biofuel BitLicense BizJet Blue Sky Laws Bristol-Myers Squibb Broken Windows Broker Commissions Brokerage Accounts Brokered Deposits BRRD Business Conduct Standards Business Partners Bylaws 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 Churning CIP Claim Construction Class Certification Clear Error Standard Clearing Members CMBS 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 Executives Corporate Fines Corporate Gifts 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 CSRC CTFC 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 Enterprise Risks Equal Protection Equity Markets Eric Holder ERISA Ernst & Young ETFs Ether EURIBOR European Supervisory Authorities (ESAs) Examiners Exemptions Exports Extensions Extortion Facebook Failure To Disclose Fair Lending Fake News False Reporting 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) Fédération Internationale de Football Association (FIFA) FERC FHFA Filing Requirements Financial CHOICE Act Financial Products Financial Promotions Financial Restatements Financial Services Act Financial Transactions Firearms First Amendment First Derivative Traders Fishing Industry Fixing America’s Surface Transportation Act (FAST Act) FLIR System Fokker Football Foreign Affiliates Foreign Corporations Foreign Currency 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 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 Howey 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 Initial Public Offerings Injunctions 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 Contract 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 Offshore Payments 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 recordkeeping Red Flags Rule Redaction Registration Requirement