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UK Conduct Regulator Bans RBS Trader for Manipulation of Japanese Yen LIBOR

by Shearman & Sterling LLP on

The Financial Conduct Authority published a Final Notice in relation to Neil Danziger, a former RBS interest rate derivatives trader, in connection with his involvement in the manipulation of Japanese Yen LIBOR. The FCA...more

Double Jeopardy Argument Fails in Ponzi Fraud

by Bennett Jones LLP on

In R. v. Samji, 2017 BCCA 415 [Samji], the B.C. Court of Appeal decided that a $33-million administrative monetary penalty (AMP) assessed by the province’s Securities Commission against a person who had run a massive Ponzi...more

Financial Services Quarterly Report - Fourth Quarter 2017: Developments in the Luxembourg Financial Sector

by Dechert LLP on

Luxembourg recently published two important bills to combat money laundering and terrorism financing – one transposes the EU AML4 Directive1 into Luxembourg law; the second establishes a central register of beneficial owners,...more

Another Corporate Executive Indicted for FCPA Violations

by Dorsey & Whitney LLP on

The Department of Justice continues to focus on individuals in FCPA cases, consistent with the dictates of the Yates memo. The President of a Maryland based transportation company was named in an eleven count indictment...more

Compliance as a Valuable Tool for Avoiding Enforcement Action in Mexico and Latin America

by Morgan Lewis on

The Recent Focus on Corruption in Mexico - On July 19, 2017, the General Law of Administrative Responsibilities (GLAR) went into effect in Mexico, making it a “serious administrative offense” for individuals and companies...more

FCPA Compliance Report-Episode 366 Jonathan Marks on performing and using a root cause analysis

by Thomas Fox on

In this podcast, I visit Jonathan Marks, a partner at Marcum LLP on how to perform a root cause analysis and its uses in the remediation phase of a best practices compliance program. One new and different item was laid out in...more

Global Anti-Bribery Year-in-Review: 2017 Developments and Predictions for 2018

by WilmerHale on

This past year marked the 40th anniversary of the U.S. Foreign Corrupt Practices Act (“FCPA”). Since its enactment in 1977, the U.S. Department of Justice (the “DOJ”) has brought approximately 300 FCPA enforcement actions,...more

King Arthur, the Roundtable, and Modern Day Lessons for Compliance Officers

by Thomas Fox on

How the Arthurian legends inform your modern-day compliance program....more

Dorsey Anti-Corruption Digest - January 2018

by Dorsey & Whitney LLP on

Keeping ahead of global anti-corruption trends is critical in today’s business markets. The Dorsey Anti-Corruption Digest, which puts global trends at your fingertips, puts you ahead. The deep experience of the Dorsey...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

This is the second of two articles reviewing events that took place during the holidays. Specifically, the first article appeared yesterday and reviewed key events concerning securities enforcement litigation from December...more

Businesses face unlimited fines for failure to prevent facilitation of tax evasion

by Womble Bond Dickinson on

Introduction - As part of a global crackdown on tax evasion, the Criminal Finances Act 2017 (the Act) introduced a new offence. From 30 September 2017, an organisation commits a criminal offence if an employee or...more

Up in Smoke: Saying Goodbye to the Cole Memo

In what could hardly be characterized as a surprise, on January 4, U.S. Attorney General Jeff Sessions issued a memorandum (the “Sessions Memo”) that rescinds the seminal cannabis “Cole Memo” of August 29, 2013 and other...more

Federal Court Finds “Oral Downloads” to SEC Waived Attorney Work Product Protection

by Dechert LLP on

U.S. Magistrate Judge Jonathan Goodman, in the Southern District of Florida, ruled last month that outside counsel’s “oral downloads” of internal investigation findings to the Staff of the Securities and Exchange Commission...more

Trump Administration Establishes New Sanctions Regime Targeting Human Rights Abusers - Also Expands Existing Sanctions on...

by Holland & Knight LLP on

The Trump Administration rounded out the year with two sanctions-related actions: The first involved creating a new program regarding human rights abusers and global corruption; the second involved adding several individuals...more

FCPA Digest - January 2018

by Shearman & Sterling LLP on

Shearman & Sterling’s bi-annual Trends & Patterns in FCPA Enforcement report provides insightful analysis of recent enforcement trends and patterns in the US, the UK and elsewhere, as well as helpful guidance on emerging best...more

Revisions To FCPA Enforcement Policies Still Pose Tough Questions For Honest Companies

by Fox Rothschild LLP on

In recent remarks, Deputy Attorney General Rod Rosenstein announced significant revisions to the Department of Justice’s (DOJ) policies for enforcing the Foreign Corrupt Practices Act. The policy revisions make permanent...more

Trump Administration Announces Sanctions Pursuant to the Global Magnitsky Act

On December 21, 2017, the Trump Administration released a list of foreign nationals it has identified to be sanctioned in accordance with the Global Magnitsky Human Rights Accountability Act of 2016. In December 2016, we...more

Top Ten International Anti-Corruption Developments for November 2017

by Morrison & Foerster LLP on

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international anti-corruption developments from the past month, with links to primary...more

New FCPA Corporate Enforcement Policy Incentivizes Corporate Voluntary Self-Disclosure and Cooperation

Under the new FCPA Corporate Enforcement Policy recently released by the Department of Justice (“DOJ”), when a company has voluntarily self-disclosed misconduct, fully cooperated in the government’s ensuing investigation, and...more

The Sapin II Act: New Perspectives on Cross-Border Investigations

On November 30, 2017, the Institut des Hautes Etudes sur la Justice (IHEJ) and Skadden hosted a roundtable at the Cercle de l’Union Interalliée in Paris to discuss new perspectives on the Sapin II Act and cross-border...more

"Absolute Liability" for a Failure to Prevent Foreign Bribery: Significant Change Ahead in Australia?

by Jones Day on

On 6 December 2017, Australia's Federal Government tabled the Crimes Legislation Amendment (Combatting Corporate Crime) Bill 2017 ("Bill"), which contains various amendments to Australia's foreign bribery regime, including...more

Protect your association from embezzlement losses—and how to deal with the aftermath

by Hellmuth & Johnson PLLC on

While 2017 has brought great fortune and growth in the real estate market, the year has unfortunately also seen several management companies’ theft/embezzlement from their association clients. To be clear, these incidents...more

Chancery Adopts Federal Test to Determine Whether to Stay a Civil Case Based on a Criminal Investigation

by Morris James LLP on

Neither the Delaware Supreme Court, nor other Delaware state courts have “articulated a specific test” to analyze whether to stay a civil case based on the pendency of a criminal case or investigation. The federal courts...more

Jury Finds Pastor, Wife Guilty In Offering Fraud Case

by Dorsey & Whitney LLP on

A staple of SEC Enforcement has been offering fraud actions. The Commission has brought a seemingly endless stream of these actions. While each scheme is different typically the cases center on promises of a safe investment...more

Happy Birthday FCPA: Implications of DOJ’s New FCPA Corporate Enforcement Policy on the Act’s 40th Anniversary

Today being the fortieth anniversary of the December 19, 1977 enactment of the Foreign Corrupt Practices Act (“FCPA”), we offer this Client Alert in celebration of the occasion. Fittingly, the U.S. Department of Justice...more

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