Search Results (344)
Documents on White Collar Crime, Banking & Financial Services
Show: results per page
|Unprecedented FCPA Wake-Up Call for U.S. Broker-Dealers and Foreign Banks: Has the Perfect FCPA Storm Finally Arrived for U.S. Financial Markets?|
Duane Morris LLP;
May 16, 2013, previously published on May 14, 2013On May 7, 2013, the U.S. Attorney's Office for the Southern District of New York (SDNY) unsealed extraordinary criminal charges against two registered representatives of a U.S. broker-dealer and a high-level Venezuelan government official for engaging in a "Massive International Bribery...
|Consumer Financial Protection Bureau Remains In Limbo|
Lloyd B. Chinn, Harris Michael Mufson, Steven J. Pearlman; Proskauer Rose LLP;
March 20, 2013, previously published on March 19, 2013The authority and leadership of the Consumer Financial Protection Bureau (CFPB), a body created by Dodd-Frank to regulate consumer protection of financial products and services, continues to remain in limbo in the wake of the recent ruling by the United States Court of Appeals District of Columbia...
|CFTC Update: CPO and CTA Annual Affirmation Obligation|
William J. Breslin, David S. Mitchell, Fern B. Simmons; Fried, Frank, Harris, Shriver & Jacobson LLP;
February 4, 2013, previously published on January 31, 2013In February 2012, the Commodity Futures Trading Commission (“CFTC”) issued final rules which require any person claiming an exemption or exclusion from registration as a commodity pool operator (“CPO”) under CFTC Regulations 4.5, 4.13(a)(2), 4.13(a)(3), 4.13(a)(5) or an...
|Federal Grant & Contract News for Nonprofits|
Elizabeth A. Buehler, Dismas Locaria, Jeffrey S. Tenenbaum, Melanie Jones Totman; Venable LLP;
January 31, 2013, previously published on January 2013In January, there were some particularly important developments with respect to whistleblower protections in connection with federal grants and contracts, as well as Office of Management and Budget (“OMB”) information on the second fiscal cliff deadline and how executive agencies should...
|Reporting Requirements for Foreign Financial Accounts: FinCEN Releases Notice Extending Deadline to June 30, 2014 for Certain Signature Authority Filers|
Sullivan Cromwell LLP;
January 7, 2013, previously published on January 4, 2013The Financial Crimes Enforcement Network of the Department of the Treasury (“FinCEN”) released Notice 2012-2 (the “Notice”) on December 26, 2012, extending the deadline for filing a Report of Foreign Bank and Financial Accounts (an “FBAR”) to June 30, 2014 for...
|Financial Fraud Alert - October 15, 2012|
Stephen C. Baker, Timothy J. O'Driscoll; Drinker Biddle & Reath LLP;
October 16, 2012, previously published on October 15, 2012Who:
Plaintiffs Alfred N. Koplin and Koplin Trading Loan, LLC
Defendants DuPage National Bank, Kevin J. McCracken, Michael J. Baum, Greenberg Traurig LLP, Thomas D. Philipsborn, Moris Kricheli, Ronald M. Schiller, Bradley Schiller, and Currently Unknown Parties
|UK Serious Fraud Office Revises Guidance on Facilitation Payments and Corporate Hospitality under the Bribery Act, and on Self-Reporting of Misconduct|
Gibson Dunn Crutcher LLP;
October 16, 2012, previously published on October 11, 2012Yesterday's Press has variously reported the 9 October 2012 announcement by the SFO of revisions to its published guidance relating to facilitation payments, corporate hospitality and self-reporting under titles such as "SFO toughens stance on bribery", "Companies face bribery...
|U.K. Serious Fraud Office Returns to First Principles in Bribery Act Guidance|
Matthew Cowie, Gary DiBianco; Skadden, Arps, Slate, Meagher & Flom (UK) LLP;
October 16, 2012, previously published on October 15, 2012On October 9, 2012, the Serious Fraud Office (SFO) announced revised policy statements regarding self-reporting, hospitality and facilitation payments. The revised policies follow a review that was instigated by the new Director of the SFO, David Green. With the policies, the SFO also published a...
|A Compilation of Enforcement and Non-Enforcement Actions|
Peter D. Fetzer, Terry D. Nelson; Foley & Lardner LLP;
October 1, 2012, previously published on September 2012As we have reported previously, on August 29, 2012, the SEC issued proposed revisions to Rule 506 under Regulation D of the Securities Act of 1933 (Rule) to accommodate the provisions under Title II of the Jumpstart Our Business Startups Act (JOBS Act). This legislation authorizes issuers to...
|Appellate Court Decision Demonstrates Security Is Not Just About Technology - It’s About People|
Chanley T. Howell; Foley & Lardner LLP;
August 24, 2012, previously published on August 16, 2012A federal appellate court recently held that a bank is potentially liable to a customer for failing to catch fraudulent money transfers totaling over $500,000. (Patco Construction Company v. People’s United Bank, 1st Cir., July 3, 2012,...