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Documents on white collar crime
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|The High Cost of Whistleblowing|
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
November 17, 2014, previously published on November 3, 2014In a number of recent posts, we have highlighted the SEC’s whistleblower program, which offers awards of 10%-30% of the money collected where a whistleblower provides high-quality, original information that results in an SEC enforcement action with sanctions exceeding $1 million.
|SEC’s Increased Use of Administrative Proceedings Draws Criticism and Legal Challenges|
Mintz Levin Cohn Ferris Glovsky Popeo P.C.;
November 17, 2014, previously published on November 12, 2014The SEC’s plan to bring more enforcement actions as administrative proceedings before its own administrative law judges rather than in the federal district courts - even in insider trading cases - has been drawing increasing criticism and legal challenges. Most recently, Judge Jed Rakoff of...
|The Justice Department’s New Policy on Waiving Claims of Ineffective Counsel; What it Means for Carolina Courts|
Mark C. Moore; Nexsen Pruet, LLC;
November 17, 2014, previously published on November 3, 2014Recognizing that the “right to effective assistance of counsel is a core value” of our justice system, Deputy Attorney General James Cole issued a memo to federal prosecutors instructing them that they should no longer enter into plea agreements requiring that defendants waive their...
|Court Decisions in the U.S. and China Bolster Law Enforcement’s Ability to Prosecute Global Corporate Corruption|
Rither Alabre, Mayling C. Blanco, Carlos F. Ortiz, Shawn M. Wright; Blank Rome LLP;
October 28, 2014, previously published on October 2014Call to Action: Given the aggressive anti-corruption investigations in the U.S. and abroad, companies are well advised to adequately develop and implement a robust compliance program, including substantial internal controls, and conduct a thorough risk analysis as they begin or continue operating...
|SEC Announces Enforcement Initiative Against Corporate Insiders for Violations of Reporting Requirements|
Daniel N. Budofsky, Barry N. Hurwitz, David I. Miller; Bingham McCutchen LLP;
September 25, 2014, previously published on September 15, 2014On September 10, 2014, the Securities and Exchange Commission (SEC) announced a series of enforcement actions against 28 officers, directors, and major shareholders — so-called “insiders” — for failure to file timely reports under Sections 16(a), 13(d) and 13(g) of the...
|Quebec Lawyer Charged in Connection with SNC-Lavalin Corruption Investigation|
Wendy Berman, Jonathan Wansbrough; Cassels Brock & Blackwell LLP;
September 23, 2014, previously published on September 12, 2014On September 10, 2014, the RCMP announced that it has laid charges of extortion and obstructing justice against a Canadian tax lawyer, arising from allegations that he induced or attempted to induce an individual, already charged with violating Canada’s foreign corrupt practices regime, by...
|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 A. 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...