News & Analysis as of

Enforcement Guidance Department of Justice (DOJ) Securities and Exchange Commission (SEC)

Jones Day

DOJ Announces New Whistleblower Program and Enforcement Initiatives

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The Development: On March 7, 2024, Deputy Attorney General ("DAG") Lisa Monaco discussed updates to the Department of Justice's ("DOJ" or "Department") corporate criminal enforcement policies and announced a pilot program...more

WilmerHale

Global Anti-Bribery Year-in-Review: 2023 Developments and Predictions for 2024

WilmerHale on

Publicly announced Foreign Corrupt Practices Act (FCPA) enforcement activity in 2023 did not return to the levels seen a few years ago, as indicated by both the total number of cases against corporate and individual...more

WilmerHale

Breaking With Precedent - New Guidance on Future CFTC Enforcement Resolutions

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The Commodity Futures Trading Commission (CFTC) Division of Enforcement recently released a new advisory to its staff related to penalties, corporate compliance monitors and consultants, and admissions in CFTC enforcement...more

WilmerHale

A Look Ahead into Corporate Enforcement in the Biden Administration

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Just one year after President Biden’s election, senior administration officials have signaled in public remarks that the federal government will amplify enforcement pressure on corporations and their employees through...more

Jones Day

The DOJ and the CFTC Are Focused on Commodities Fraud Enforcement—Are You? Suggestions for Preparing Your Organization

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The Department of Justice ("DOJ") and the Commodity Futures Trading Commission ("CFTC") in recent years have worked closely together to target companies and individuals for violations of the Commodity Exchange Act and other...more

WilmerHale

Global Anti-Bribery Year-in-Review: 2020 Developments and Predictions for 2021

WilmerHale on

As was true in many areas of the law, Foreign Corrupt Practices Act (FCPA) enforcement in 2020 - and anti-corruption enforcement more generally - was affected by the COVID-19 pandemic, but perhaps not as much as was initially...more

King & Spalding

Patchwork of Cryptocurrency Regulators Increasingly Stitch Together Cooperative Enforcement Efforts

King & Spalding on

Recent Enforcement Actions and Guidance from DOJ, FinCEN, and OFAC Demonstrate the Increased Commitment — and Cooperation — of Federal Regulators to Police Digital Currencies, Including Their Use in Ransomware Attacks - Amid...more

McDermott Will & Emery

DOJ Issues Long-Awaited FCPA Advisory Opinion

McDermott Will & Emery on

On August 14, 2020, for the first time in roughly six years, the US Department of Justice (DOJ) issued an advisory opinion regarding compliance with the Foreign Corrupt Practices Act (FCPA). More than two years ago, former...more

Cadwalader, Wickersham & Taft LLP

DOJ and SEC Update FCPA Resource Guide for 2020 – What’s New and What Does It Mean?

On July 3, 2020, the Department of Justice (“DOJ”) and Securities and Exchange Commission (“SEC”) updated their 2012 joint guidance on the Foreign Corrupt Practices Act (“FCPA”) in the SEC and DOJ’s FCPA Resource Guide...more

WilmerHale

DOJ and SEC Release Second Edition of the FCPA Resource Guide

WilmerHale on

On July 3, 2020, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) released the second edition of the Resource Guide to the U.S. Foreign Corrupt Practices Act (2020 Guide), the first update to...more

Thomas Fox - Compliance Evangelist

The FCPA Resources Guide, Second Edition – FCPA Corporate Enforcement Policy

Obviously, there have been multiple developments by the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) since 2012 release of the First Edition of the FCPA Resources Guide (2012 Resources Guide). The...more

Jones Day

DOJ Loosens Prohibition on "Ephemeral Communications"; SEC Does Not

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The Situation: Most companies have faced challenges in finding the right balance between their information governance programs and their employees' use of technologies that do not permit retention of communications....more

Katten Muchin Rosenman LLP

Bridging the Week - March 2019 #2

Unexpectedly, the Commodity Futures Trading Commission announced a new initiative to encourage non-registrants to self-report foreign corrupt practices, which it claimed might also constitute violations of laws and rules it...more

A&O Shearman

CFTC Announces Further Incentives For Self-Reporting, Cooperation For Unregistered Individuals And Entities, While Highlighting...

A&O Shearman on

On March 6, 2019, the head of the U.S. Commodity Futures Trading Commission’s (“CFTC’s”) Enforcement Division, James McDonald, announced a new policy related to the benefits of self-reporting foreign corrupt practices-related...more

Dechert LLP

CFTC Issues Enforcement Guidance to Encourage Self Reporting of FCPA Violations

Dechert LLP on

On March 6, 2019, the Commodity Futures Trading Commission (“CFTC”) published an Enforcement Advisory describing the circumstances in which companies that self-report violations of the Foreign Corrupt Practices Act (“FCPA”)...more

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