News & Analysis as of

Cooperation

Obedient Companies Rewarded in New DOJ Policy Discouraging Duplicative Penalties

by Holland & Knight LLP on

• Deputy Attorney General Rod Rosenstein has announced a new U.S. Department of Justice (DOJ) policy to discourage government agencies from "piling on" duplicative corporate penalties. • Rosenstein signaled a desire for...more

Alberta Securities Commission Allows No-Contest Settlement Agreements

by Bennett Jones LLP on

The Alberta Securities Commission (ASC), the regulatory agency responsible for administering provincial securities laws in Alberta, announced last week that it would be following the lead of its Ontario and American...more

New DOJ Policy Will Curb “Piling On” Multiple Penalties for Same Corporate Misconduct

by Latham & Watkins LLP on

Corporate resolution policy will provide greater clarity and predictability for companies that self-report and cooperate with DOJ. Key Points: ..The new policy requires DOJ civil and criminal prosecutors to coordinate...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

Speeches were key this week. Steven Pelkin, Co-Director of the SEC’s Enforcement Division delivered remarks focused on the Wells process, offering suggestions for defense counsel. Deputy Attorney General Rod Rosenstein...more

Podcast - Risk Management: Revised FCPA Corporate Enforcement Policy

by Ropes & Gray LLP on

In November 2017, the U.S. Department of Justice announced a revised Foreign Corrupt Practices Act (FCPA) Enforcement Policy that provides significant incentives for corporations to voluntarily self-disclose potential FCPA...more

SEC Investigations: A Guide for Public Company Directors, Officers, and In-House Counsel

by Latham & Watkins LLP on

Even public companies with a strong code of conduct, an exemplary tone at the top, robust internal controls, and a culture of compliance may face allegations of misconduct that can lead to an investigation by the Division of...more

SEC Enforcement Division FAQs on its SCSD for Advisers

by Dorsey & Whitney LLP on

The SEC’s Division of Enforcement issued Frequently Asked Questions and Answers or FAQs for its Share Class Selection Disclosure Initiative or SCSD, initially announced in February 2018. The FAQs clarify and in part reiterate...more

DOJ Implements Policies On Environmental Enforcement

by Holland & Knight LLP on

• A recent memorandum from the U.S. Department of Justice's (DOJ) Environment and Natural Resources Division (ENRD) provides guidance on civil and criminal enforcement of environmental laws. DOJ will continue to pursue...more

SEC, Under New Safe Harbor, Awards More Than $2.2 Million To Whistleblower Who First Reported To Another Federal Agency

by Shearman & Sterling LLP on

On April 5, 2018, the Securities and Exchange Commission (“SEC”) announced a whistleblower award of more than $2.2 million in connection with a report of misconduct. The whistleblower, a former company insider, first reported...more

Agencies Agree to Speed Environmental Permitting

Effective yesterday, April 10, 2018, seven executive departments, the U.S. Army Corps of Engineers, the Environmental Protection Agency, and the Federal Energy Regulatory Commission have agreed to cooperate for the timely...more

Developments In CFTC Cooperation Program

by WilmerHale on

Introduction - The Commodity Futures Trading Commission (CFTC or Commission) recently took several steps to further encourage cooperation with and self-reporting to the Commission’s Division of Enforcement (Division). In...more

Perspectives for the Professions Newsletter - March 2018: Duty of Fairness at Investigative Stage and the Importance of...

by Field Law on

Kuny v College of Registered Nurses of Manitoba, 2017 MBCA 111, emphasizes that the duty of fairness at the investigative stage of a professional disciplinary process requires centrally that a member be advised of the...more

French prosecutors reach first ever DPAs settling bribery charges

by White & Case LLP on

In February 2018, the first Conventions Judiciaire d'Intérêt Public ("CJIPs") – or French Deferred Prosecution Agreements ("DPAs") – were entered into for corruption charges between the Public Prosecutor's Office of Nanterre...more

DOJ Criminal Division Announces Major Change in Corporate Enforcement Policy

by Vedder Price on

On March 1, 2018, the Criminal Division of the U.S. Department of Justice (“DOJ”) announced that it has expanded the scope of cases in which it will consider issuing a formal declination of criminal charges for a company that...more

New DOJ Policy Grants Companies Expanded Credit for Voluntary Disclosure of Criminal Misconduct

by Dechert LLP on

In a development with potentially far-reaching consequences for white collar enforcement, the U.S. Department of Justice (DOJ) Criminal Division has expanded the opportunity for companies to earn credit for voluntary...more

International Co-operation in Investigations

by WilmerHale on

In recent years, the rise of multi-jurisdictional investigations and corresponding multi-jurisdictional settlements has changed the enforcement landscape. Notable examples include the tri-lateral settlements of Odebrecht and...more

2017 CFTC Year-in-Review and a Look Forward

by WilmerHale on

In 2017, under the leadership of new Chairman J. Christopher Giancarlo, the Commodity Futures Trading Commission (CFTC or Commission) adopted a notable shift in its enforcement priorities and regulatory agenda. In March,...more

Australian agencies responsible for the enforcement of foreign bribery laws release self-reporting guidelines

by Allen & Overy LLP on

The Australian government agencies responsible for investigating and prosecuting foreign bribery have released joint best practice guidelines that indicate how they will approach self-reporting by companies voluntarily...more

Presumption of Declination with Voluntary Disclosure, Cooperation, and Remediation of FCPA Violations

Deputy Attorney General Rod J. Rosenstein recently announced a revision to the U.S. Department of Justice (“DOJ”) policy on corporate enforcement of the Foreign Corrupt Practices Act (“FCPA”). The revision codifies a pilot...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

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

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

FCPA in the Trump DOJ: Continuing Down the Same Path, with a Little More Heft

by Farella Braun + Martel LLP on

Next week marks the 40th anniversary of the Foreign Corrupt Practices Act – it became effective December 19, 1977. Deputy Attorney General Rod Rosenstein marked the occasion this month by providing an update on the FCPA Pilot...more

The DOJ’s Revised FCPA Corporate Enforcement Policy: A New Blueprint for Corporate Cooperation and Credit

by Williams Mullen on

On November 29, 2017, Deputy Attorney General Rod Rosenstein announced the issuance of a revised FCPA Corporate Enforcement Policy (the “Policy”). Rosenstein announced that the “new policy enables the Department [of Justice]...more

New California Labor and Employment Laws for 2018

by Holland & Knight LLP on

• The California Legislature passed numerous labor and employment bills that Gov. Jerry Brown signed into law in 2017. • Many of the new laws relate to wages and hours, leaves and benefits, hiring practices, health and...more

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