Search Results for:
Kit Addleman
(20)
ARTICLES(20)
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SEC's $14 Million Award Highlights the Importance of Effectively Responding to Internal Whistleblower Reports
- October 14, 2013
- LEGAL ALERTS/ARTICLES
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SEC and DOJ Resolve Parallel FCPA Investigations through Dual Non-Prosecution Agreements
- April 25, 2013
- LEGAL ALERTS/ARTICLES
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DOJ and SEC Release Long-Awaited FCPA Resource Guide
- November 23, 2012
- LEGAL ALERTS/ARTICLES
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“Why Cooperate with the SEC?” Recent Settlements Shed Light
- April 18, 2012
- LEGAL ALERTS/ARTICLES
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Supreme Court Holds That a Failure to File Section 16(a) Disclosures Does Not Toll the Statute of Limitations on Recovery of Short Swing Profits
- March 27, 2012
- LEGAL ALERTS/ARTICLES
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Consumer Financial Protection Bureau Publishes Enforcement Notice
- November 18, 2011
- LEGAL ALERTS/ARTICLES
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SEC Implements Whistleblower Bounty Program and Protections: Implications for Companies
- June 07, 2011
- LEGAL ALERTS/ARTICLES
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SEC Needs More Than Transaction-Based Compensation to Prove Broker Activity
- May 13, 2011
- LEGAL ALERTS/ARTICLES
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A Rare Court Ruling on Who is a Foreign Official Under the FCPA
- April 27, 2011
- LEGAL ALERTS/ARTICLES
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SEC Enforcement: Spotlighting Outside Directors
- March 09, 2011
- LEGAL ALERTS/ARTICLES
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SEC Enters First Ever Non-Prosecution Agreement With a Cooperating Company
- December 23, 2010
- LEGAL ALERTS/ARTICLES
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SEC Proposes Definition of “Family Office”
- October 26, 2010
- LEGAL ALERTS/ARTICLES
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SEC Warns Credit Rating Agencies of Increased Fraud Scrutiny
- September 09, 2010
- LEGAL ALERTS/ARTICLES
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SEC Adopts New Rules to Facilitate Rights of Shareholders to Nominate Directors
- September 02, 2010
- LEGAL ALERTS/ARTICLES
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Significant New Registration, Reporting and Regulatory Requirements Imposed on Advisers to Private Funds
- August 05, 2010
- LEGAL ALERTS/ARTICLES
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SEC Adopts Pay-to-Play Rules
- July 16, 2010
- LEGAL ALERTS/ARTICLES
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Court Ruling Endorses SEC's Power to Seek Clawback of Incentive Compensation from CEO not Accused of Wrongdoing
- June 23, 2010
- LEGAL ALERTS/ARTICLES
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New Development in Foreign Anticorruption Law: The United Kingdom's Bribery Act Reaches Far Beyond the British Isles
- April 23, 2010
- LEGAL ALERTS/ARTICLES
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Managing Risk: A Guide for Investment Advisers
- February 23, 2010
- LEGAL ALERTS/ARTICLES
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A New Era of Cooperation at the SEC
- February 05, 2010
- LEGAL ALERTS/ARTICLES