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|Understanding U.S. Sanctions against Russia and their Potential Impact on the Financial Industry|
Holland Hart LLP;
April 10, 2014, previously published on April 3, 2014In response to Russian annexation of the Crimean region of Ukraine, the United States implemented targeted sanctions against certain Russia and Ukrainian interests. The sanctions are historic in that they have the ability to target substantial interests in a major global market, in contrast to...
|SEC Holds Cybersecurity Roundtable|
Gregory A. Mason, Mark H.M. Sosnowsky; Drinker Biddle & Reath LLP;
April 1, 2014, previously published on March 31, 2014On Wednesday, March 26, 2014, the Securities and Exchange Commission conducted a roundtable discussion on cybersecurity and the issues and challenges cyber-threats present for public companies, exchanges, and market participants. The roundtable consisted of four separate panel discussions and...
|Marubeni Plea Agreement Suggests There May Be More FCPA Charges to Come|
Charles S. Leeper, Gregory A. Mason; Drinker Biddle & Reath LLP;
April 1, 2014, previously published on March 28, 2014In a March 19, 2014 Plea Agreement, the Japanese trading company Marubeni Corporation agreed to plead guilty in the U.S. District Court for the District of Connecticut to a criminal information charging a conspiracy to violate the Foreign Corrupt Practices Act, and seven substantive violations of...
|White House’s Cybersecurity Framework Highlights Need for Preparedness|
Ronald A. Sarachan, Zoë K. Wilhelm; Drinker Biddle & Reath LLP;
March 19, 2014, previously published on March 11, 2014The White House recently announced the official launch of the Cybersecurity Framework, which provides voluntary guidelines for both public and private organizations operating as part of the “critical infrastructure” to create or improve upon their defenses and response protocols for...
|How Giving Legal Advice Can Lead to a Criminal Indictment|
Rocco J. Carbone; Marshall Dennehey Warner Coleman & Goggin, P.C.;
March 14, 2014, previously published on March 1, 2014On October 12, 2013, the Office of the Florida Attorney General convicted Kelly Mathis, a prominent Jacksonville attorney, of 103 out of 104 criminal counts, including felony racketeering. The Attorney General’s Statewide Prosecutor indicted Mr. Mathis and 57 other co-defendants on various...
|UK Issues Guidelines for Deferred Prosecution Agreements|
Matthew Cowie, Gary DiBianco, Caroline Wojtylak; Skadden, Arps, Slate, Meagher & Flom (UK) LLP;
March 13, 2014, previously published on March 11, 2014Deferred prosecution agreements (DPAs) are now available in the United Kingdom as a means of resolving criminal investigations of certain serious economic crimes other than by guilty plea, trial or prosecutorial declination. U.K. DPAs, which are the product of a lengthy preparation and public...
|OSC Announces Adoption of Flexible American-Style Enforcement Tools to Police Capital Markets|
Borden Ladner Gervais LLP;
March 13, 2014, previously published on March 12, 2014Exactly two weeks to the day that Deferred Prosecution Agreements came into force for enumerated offences in the United Kingdom, the Ontario Securities Commission (the “OSC” or the “Commission”) also indicated that it was prepared to embrace flexible enforcement tools that...
|Consumer Credit FCA Publishes Final Detailed Rules 2014 March|
Andrew Barber, Howard Cohen, Emma Radmore; Dentons Canada LLP;
March 12, 2014, previously published on March 3, 2014The UK Treasury and Financial Conduct Authority (FCA) have been drip-feeding the industry rules and practical details of the transfer of consumer credit (CC) regulation to FCA. FCA has now published the final form of its detailed rules in its Consumer Credit Sourcebook (CONC), with feedback and...
|SOX Whistleblower Protections Extend to Employees of Privately Held Companies that Contract with Public Companies|
Bose McKinney Evans LLP;
March 12, 2014, previously published on March 6, 2014The U.S. Supreme Court on Tuesday, March 4, handed down an important decision regarding the reach of the anti-retaliation provisions of the federal Sarbanes-Oxley Act (SOX), holding that the law’s whistleblower protections extend to contractors and subcontractors of publicly traded companies....
|Supreme Court Broadens Sarbanes-Oxley Whistleblower Protections, Extends Coverage to Employees of a Public Company’s Private Contractors|
Nicholas S. Feltham, Mary P. Hansen; Drinker Biddle & Reath LLP;
March 10, 2014, previously published on March 7, 2014In its March 4, 2014, opinion in Lawson v. FMR LLC the Supreme Court extended the whistleblower protections of 18 U.S.C. § 1514A to include not only employees of public companies, but also employees of privately held businesses that provide services to public companies. This important decision...