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Documents on white collar crime
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|Do You Know The Source of That "Tip"?|
Dressman Benzinger LaVelle psc;
September 19, 2014SEC has not hesitated to bring actions against traders far removed from the initial tipper
|Civil Consequences of Criminal Cases|
Mohamed N. Bakry, Kevin E. Hexstall; Marshall Dennehey Warner Coleman & Goggin, P.C.;
September 5, 2014, previously published on September 1, 2014The disposition of a criminal case may affect the criminal defendant and/or his employer (company) in later civil litigation. Any defense strategy should consider the potential collateral consequences of the criminal case. The disposition of the criminal case may affect a later civil suit regarding...
|Presumption Against Extraterritoriality in Morrison v. National Australia Bank Extended to Private Party Whistleblower Retaliation Cases|
Matthew Bisanz, Marcus Christian, Mark G. Hanchet, Alex C. Lakatos, Richard M. Rosenfeld; Mayer Brown LLP;
August 27, 2014, previously published on August 25, 2014The US Court of Appeals for the Second Circuit has ruled that the presumption against extraterritoriality applies to private party actions under Section 21(h) of the Securities Exchange Act of 1934 (“Exchange Act”). The Second Circuit’s August 14, 2014 decision in Liu v. Siemens...
|SEC FCPA Settlement Sends Wake-Up Call to Small and Medium-Sized Businesses|
Mayling C. Blanco, Ariel S. Glasner, Carlos F. Ortiz, Shawn M. Wright; Blank Rome LLP;
August 21, 2014, previously published on August 2014On July 28, 2014, Smith & Wesson Holding Corp. (“Smith & Wesson”), the firearms manufacturer based in Springfield, Massachusetts, agreed to resolve charges brought by the Securities and Exchange Commission (“SEC”) for violations of the Foreign Corrupt Practices Act...
|Freezing Assets of Politically-Exposed Persons: A Feature of Canada’s International Sanctions Regime|
Brandon Barnes; Davis LLP;
August 14, 2014, previously published on August 11, 2014To date, Canada’s response to the ongoing conflict in the Ukraine has been the imposition of sanctions on Pro-Russian elements of the former Ukrainian government and Eastern Ukrainian separatist factions linked to Moscow. Russia itself has responded with sanctions directed at prominent...
|Shuffleboard, Early Bird Specials, and . . . Whistleblowing?|
Jessica W. Catlow; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
August 4, 2014, previously published on August 1, 2014When most employers hear the word “whistleblower,” they think of their current employees and various anti-retaliation laws; however, under the SEC’s “Whistleblower Program,” the “whistleblower” may be a current or former employee. Indeed, as reported...
|Deferred Prosecution Agreements: the US Experience and the UK Potential|
Dentons Canada LLP;
July 29, 2014, previously published on July 14, 2014Deferred Prosecution Agreements (DPAs) have been used in the US for over 20 years. The UK has recently brought into force the laws allowing certain prosecuting authorities to use them. In this article, Stephen Hill and Emma Radmore from Dentons look at the history and features of DPAs, given the US...
|The Case for an International Anti-Corruption Court|
James Maton; Edwards Wildman Palmer LLP;
July 29, 2014, previously published on July 21, 2014The lack of political will is undoubtedly the biggest obstacle to investigating and prosecuting corruption and to bringing proceedings to recover the proceeds of corruption. All other obstacles are secondary.
|FedEx Indictment: Government Seeks to Outsource Criminal Enforcement|
Brianna L. Abrams, Nicholas M. Gess, Nathan J. Hochman; Bingham McCutchen LLP;
July 25, 2014, previously published on July 21, 2014On July 17, 2014, a federal grand jury in San Francisco returned a 15-count indictment charging FedEx with crimes for allegedly failing to heed warning signs that illegal Internet pharmacies were using FedEx facilities to ship drugs to consumers. United States v. FedEx Corporation, et al.,...
|Five Years Later, No Criminals?|
Bernstein Litowitz Berger Grossmann LLP;
July 24, 2014, previously published on Summer 2014Judge Jed S. Rakoff recently delivered a powerful speech at the New York City Bar Association addressing corporate accountability after the 2008 financial crisis. The number of high-level executives criminally prosecuted for fraud related to the crisis is zero. Even though the U.S. federal...