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Confidential Information › Attorney-Client Privilege › Securities and Exchange Commission (SEC)

Barnea Jaffa Lande & Co.

Document Subpoena from US Authorities: Critical Steps

Barnea Jaffa Lande & Co. on

Receiving a document subpoena from the DOJ, the SEC, or any other US regulatory authority is a stressful and unpleasant situation.   Things may seem even more stressful and complicated if you are a foreign national or company...more

Troutman Pepper

Top 10 Tips for Drafting Whistleblower Compliant Arrangements

Troutman Pepper on

Background - Under Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, Congress expanded protections for whistleblowers reporting possible violations of federal securities laws to the...more

Skadden, Arps, Slate, Meagher & Flom LLP

Balancing Act: Sharing Information From an Internal Investigation Without Waiving Privilege

Skadden, Arps, Slate, Meagher & Flom LLP on

A whistleblower has triggered a race against time: An internal inquiry, directed by the audit committee and overseen by external counsel, has been launched in response to allegations that revenue was recorded without proper...more

Farella Braun + Martel LLP

Revenge of the Whistle-blower: Possible Consequences of Compliance Failures

Farella Braun + Martel LLP on

In a company with a robust compliance culture, potential whistleblowers can express their concerns without fear of retribution. By contrast, the penalty for a culture that silences whistleblowers just got steeper. Companies...more

WilmerHale

The European, Middle Eastern and African Investigations Review 2016: United Kingdom: handling internal investigations

WilmerHale on

With so much potentially at stake, the initial steps and strategic decisions taken in any company investigation are critical to setting the tone for a focused, credible and effective inquiry. This is paramount not only for...more

Manatt, Phelps & Phillips, LLP

Corporate Investigations & White Collar Defense - September 2015

Manatt, Phelps & Phillips, LLP on

No Dog Days of August for the SEC—A Recap of a Busy Month - Why it matters: Who says there is a government slowdown in August? Not for the SEC. August 2015 turned out to be very busy indeed for the agency, which...more

Allen Matkins

SEC Condemns Breach Of Client Confidences While Offering Possible Bounties For Breaches

Allen Matkins on

Yesterday, the Securities and Exchange Commission announced that it had “charged a California-based attorney and his wife with insider trading on confidential information obtained from a corporate client.” According to the...more

Allen Matkins

SEC Acknowledges Ethical Obligations May Preclude Voluntary Reporting Out By Attorneys

Allen Matkins on

In 2003, the Securities and Exchange Commission adopted rules that purportedly immunized attorneys who, subject to specific conditions, reveal confidential information to the SEC. 17 C.F.R. § 205.3(d)(2) Technically, the...more

Allen Matkins

Secrets Must Be Kept Even When Not Privileged

Allen Matkins on

Yesterday, I discussed whether an SEC attorney might commit an ethical violation by encouraging an attorney to disclose her client’s confidences. That discussion was prompted by a recent posting by Lawrence A. West...more

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