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Documents on white collar crime

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HTMLSEC Announces Enforcement Initiative Against Corporate Insiders for Violations of Reporting Requirements
Daniel N. Budofsky, Barry N. Hurwitz, David I. Miller; Bingham McCutchen LLP;
Legal Alert/Article
September 25, 2014, previously published on September 15, 2014
On 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...


HTMLQuebec Lawyer Charged in Connection with SNC-Lavalin Corruption Investigation
Wendy Berman, Jonathan Wansbrough; Cassels Brock & Blackwell LLP;
Legal Alert/Article
September 23, 2014, previously published on September 12, 2014
On 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...


HTMLDo You Know The Source of That "Tip"?
Dressman Benzinger LaVelle psc;
Legal Alert/Article
September 19, 2014
SEC has not hesitated to bring actions against traders far removed from the initial tipper


HTMLCivil Consequences of Criminal Cases
Mohamed N. Bakry, Kevin E. Hexstall; Marshall Dennehey Warner Coleman & Goggin, P.C.;
Legal Alert/Article
September 5, 2014, previously published on September 1, 2014
The 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...


HTMLPresumption 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;
Legal Alert/Article
August 27, 2014, previously published on August 25, 2014
The 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...


HTMLSEC 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;
Legal Alert/Article
August 21, 2014, previously published on August 2014
On 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...


HTMLFreezing Assets of Politically-Exposed Persons: A Feature of Canada’s International Sanctions Regime
Brandon Barnes; DLA Piper (Canada) LLP;
Legal Alert/Article
August 14, 2014, previously published on August 11, 2014
To 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...


HTMLShuffleboard, Early Bird Specials, and . . . Whistleblowing?
Jessica W. Catlow; Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.;
Legal Alert/Article
August 4, 2014, previously published on August 1, 2014
When 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...


HTMLThe Case for an International Anti-Corruption Court
James Maton; Edwards Wildman Palmer LLP;
Legal Alert/Article
July 29, 2014, previously published on July 21, 2014
The 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.


HTMLDeferred Prosecution Agreements: the US Experience and the UK Potential
Dentons Canada LLP;
Legal Alert/Article
July 29, 2014, previously published on July 14, 2014
Deferred 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...


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