Understanding the Latest DOJ Changes to Corporate Prosecutions
The Justice Insiders Podcast: Self-Disclosure, Cooperation, and the Hazards of Knowing Too Little
The Justice Insiders Podcast - AI-Washing: Everything Old Is New Again
Understanding the Whistleblower Pilot Program in the Southern District of New York
The Presumption of Innocence Podcast: Episode 30 - Why They Do It: Inside the Mind of a White Collar Criminal – A Discussion With Author Eugene Soltes
The Justice Insiders Podcast: Using External Resources for Internal Investigations
Encouraging and Managing Employee Self-Reporting
Keeping Up With the Bureau Episode 1: Overview of CFPB and State AG Initiatives/Expansion - The Consumer Finance Podcast
The Justice Insiders Podcast: The DOJ Wants You! - Part II: Voluntary Disclosures
The Justice Insiders: The DOJ Wants You!
JONES DAY TALKS®: CFTC and DOJ Target Derivatives Trading Across Industries
Compliance Perspectives: The Antitrust Division’s Office of Decree Enforcement
Do I Need a Lawyer? Federal Employees Under Investigation [More with McGlinchey Ep. 1]
Podcast: International Risks Facing Latin America Companies
Podcast - Risk Management: Revised FCPA Corporate Enforcement Policy
FCPA Compliance and Ethics Report-Episode 165-BHP FCPA Enforcement and Lessons Learned for the Compliance Practitioner
BakerHostetler Attorneys James Mastracchio and Jay Nanavati Discuss Global Tax Enforcement
Episode 155-Mara Senn on FCPA Investigations and the Decision to Self-Disclose
Like a fashion trend that never fails to come back in style (we look fabulous in baggy jeans, btw), we're revisiting SEC enforcement actions involving public company executive perquisites – or "perks" – a topic we have...more
The SEC announced settled charges against Zymergen Inc. in connection with its IPO based on misleading statements about its market potential, revenue prospects and customer pipeline. After raising $530 million in the 2021...more
The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more
SEC enforcement actions against public companies and subsidiaries rose again in FY 2023, with 91 new actions filed, the third highest of any fiscal year in SEED. Although filings increased, total monetary settlements fell to...more
Although the SEC has long adhered to its Seaboard Report of Investigation to outline the analytical framework for the agency's cooperation program for companies, the exact benefits of self-policing, self-reporting,...more
Total monetary value of settlements fell to lowest level in last eight fiscal years. The U.S. Securities and Exchange Commission (SEC) filed 91 enforcement actions against public companies and subsidiaries in fiscal year...more
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
The Commission accepted a settlement offer from one of three Respondents in an offering fraud action. It was based in part on cooperation and an undertaking to appear and testify for the staff in the future. In resolving the...more
U.S. Structured Warrant Programs: Introduction - U.S. and non-U.S. banks have offered structured warrants in the U.S. to address the needs of both institutional and high-net worth investors. This article will...more
On May 20, BHP Billiton Ltd. and BHP Billiton Plc (BHPB), a global resources company that sponsored the 2008 Beijing Summer Olympic Games, settled Securities and Exchange Commission charges of Foreign Corrupt Practices Act...more