Securities, Foreign Corrupt Practices Act (FCPA), Department of Justice (DOJ)

The Second Trump Administration’s First 100 days

DLA Piper on 5/7/2025

The first 100 days of the second Trump Administration have been marked by a flurry of Executive Orders (EOs) and policy memoranda intended to advance President Donald Trump’s “America First” agenda. In the process, these...more

The New FCPA Cooperation Plan - Revitalized program or regurgitation of existing policy?

Snell & Wilmer on 9/19/2016

On April 5, 2016, the U.S. Department of Justice (DOJ) issued an Enforcement and Guidance Plan (Plan) concerning the Foreign Corrupt Practices Act (FCPA). While the new Plan could be interpreted as a novel departure from past...more

Prevailing in an Era of Regulatory Enforcement – Balancing Risk and Compliance [Expect Focus – Vol. II, July 2016]

Carlton Fields on 7/26/2016

IN THE SPOTLIGHT - - SEC Sanctions Unregistered EB-5 Investments Broker SECURITIES - - FINRA to Assess Member Firms’ Culture - SEC Seeks Fund Responses to Distribution-In-Guise Guidance ...more

Byzantium and the Alstom FCPA Settlement – Part III

Thomas Fox - Compliance Evangelist on 1/6/2015

Porphyry is a type of stone that was much favored in the Roman world. In a review of several books in the New York Review of Books, entitled “The Purple Stone of Emperors”, Peter Brown looked into the history of the lithic in...more

This Week In Securities Litigation

Dorsey & Whitney LLP on 12/19/2014

The Commission brought two FCPA cases this week, one of which was in conjunction with the DOJ. Both centered on the payments for gifts and travel in China. In addition, the SEC filed three manipulation cases, an action...more

This Week In Securities Litigation (The week ending January 10, 2014)

Dorsey & Whitney LLP on 1/10/2014

The insider trading trial of former SAC Capital official Matthew Martoma opened this week in Manhattan with jury selection. The SEC announced the resignation of George Canellos, Co-director of the Division of Enforcement....more