News & Analysis as of

Enforcement Compliance Corporate Governance

Foreign Corrupt Practices Act Enforcement: 2017 Year-in-Review

by Bryan Cave on

Enforcement of the Foreign Corrupt Practices Act (FCPA) again remained a high priority for the Department of Justice and the Securities and Exchange Commission in 2017, resulting in 11 companies paying over $1.92 billion to...more

Governance & Securities Law Focus: Latin America Edition - October 2014

by Shearman & Sterling LLP on

In this issue: - US DEVELOPMENTS - SEC Developments - Noteworthy US Securities Law Litigation - Recent SEC/DOJ Enforcement Matters - EU DEVELOPMENTS - European Commission...more

A Warning to Public Company Insiders and Companies: Get All Beneficial Ownership Reports Filed on Time

by Benesch on

In September 2014, the Securities and Exchange Commission (“SEC”) announced charges against 28 officers, directors and significant stockholders of public companies for violating federal securities laws which require such...more

The Origins of the FCPA - Lessons for Effective Compliance and Enforcement - Conclusion

by Dorsey & Whitney LLP on

This is the final part of an occasional series. The entire paper will be published by Securities Regulation Law Journal early next year. Conclusion: The FCPA Today - The FCPA was unique in the world at passage....more

The Positive Effects of DPAs and NPAs in FCPA Enforcement

by Thomas Fox on

One of the oft-made criticisms regarding the Department of Justice (DOJ) around its enforcement of the Foreign Corrupt Practices Act (FCPA) is its the use of Deferred Prosecution Agreements (DPAs) and Non-Prosecution...more

The Origins of the FCPA: Lessons For Effective Compliance and Enforcement - Pt 3

by Dorsey & Whitney LLP on

The foreign payments cases held the organization and the individuals involved accountable while improving corporate governance for the benefit of the shareholders in the future. A series of cases followed the initial filings....more

Federal Prosecutors: The New Architects Of Corporate Governance

by Allen Matkins on

If I asked who or what are the primary sources of corporate governance changes, I would expect the following answers: Congress, the Securities and Exchange Commission, the stock exchanges, proxy advisory firms, public pension...more

Step-by-Step, Inch-by-Inch: Trouble for Wal-Mart in Delaware

by Michael Volkov on

Niagara Falls, slowly I turn, step-by-step, inch-by-inch. In a creative epiphany, I have found a way to link together one of my favorite Three Stooges (Curly was my hero) scenes and Wal-Mart’s current situation in Delaware...more

What Are the Regulators Thinking?

Recently the New England Chapter of the National Association of Corporate Directors presented a distinguished panel of current and former securities regulators discussing enforcement and governance issues facing boards of...more

Nolan Ryan’s First No-Hitter And Checking In On The FCPA Professor

by Thomas Fox on

As the Houston Astros continue their journey into complete non-relevance, both to myself and the greater southeast Texas TV watching audience, today we celebrate one of the Astros greatest players, Nolan Ryan. On this day, 41...more

Working With Third Parties In The Due Diligence Process

by Thomas Fox on

On this day we celebrate the 1607 founding of the English colony at Jamestown. While credited with being the first English colony in what became America, it’s probably more accurate to refer to it as the first permanent...more

Hitting The Ground Running – Your First 100 Days As A New CCO

by Thomas Fox on

The first 100 days. Franklin D Roosevelt’s (FDR’s) first term is the standard by which all other Presidents are measured for their first days in office. Why? ...more

SEC Staff Announces 2014 Broker-Dealer Examination Priorities

by Goodwin on

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced the 2014 examination priorities (the “Announcement”) for its National Examination Program (the “NEP”). The priorities are organized according to...more

Financial Reporting & Accounting Enforcement Annual Review - 2013

by Morrison & Foerster LLP on

In This Issue: Introduction; Redesigning the SEC’s Division of Enforcement, Again; Focus Areas: What’s Next; Overview of 2013 Cases; Public Company, Officer, and Director Trends; Audit Firm and Auditor Trends; Rule...more

Individual FCPA Enforcement Actions In 2013

by Thomas Fox on

This year had the largest number of individual Foreign Corrupt Practices Act (FCPA) enforcement actions since 2010, the year of the Gun Sting case. Here are the highlights of FCPA related enforcement actions against...more

Pushing Corporate Boards To A New Style Of Governance

by Michael Volkov on

In the coming years, the pressure on corporate boards will reach new levels. Enforcement agencies are scouring investigations and sources of information to bring civil and criminal cases against board members. Activist...more

Third Party Risk in a Global Environment

by NAVEX Global on

Most organizations engage with hundreds, if not often thousands, of third party vendors, suppliers, agents and business partners, creating a daunting and ever-expanding scope of risk. This risk arises from: 1....more

Lessons Learned From The Morgan Keegan Case, Part I – Valuation

by Pepper Hamilton LLP on

The U.S. Securities and Exchange Commission (SEC)’s recent settlement in the latest chapter of the enforcement proceeding involving Morgan Keegan provides important guideposts on two of the hottest regulatory topics in the...more

The Navigator - Issue 1 Summer 2013

by BakerHostetler on

Welcome to the inaugural edition of BakerHostetler's The Navigator, your source for news, trends, research and reliable commentary on white collar defense, corporate investigations, monitorships, examinerships and...more

Hyper-Focus On Corporate Governance: Dangers And Risks To Corporate Boards

by Michael Volkov on

Corporate boards are under increasing government and shareholder scrutiny. ...more

The Marriage Of The CEO And CCO: A Match Made In Heaven

by Michael Volkov on

In the face of unprecedented enforcement risks, Chief Executive Officers are embracing the Chief Compliance Officer....more

Good Governance for General Counsel: What Your Board Needs to Know Now

by Baker Donelson on

A host of regulatory and finance reforms have ushered in significant changes for health care entities, and likewise, for the boards that guide them. How can general counsel broach these changes with their boards and steer...more

High Anxiety: Five Basic Worries For Every Corporate Board

by Michael Volkov on

Life is full of anxieties. We all know that. Some suffer worse anxieties than others. As I often say, anxiety comes and goes. Anxiety cannot be measured but is something that everyone experiences on their own terms....more

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