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Documents on white collar crime
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|UK Financial Conduct Authority Issues Final Rules Concerning Whistleblowers|
Bret A. Campbell, Joseph V. Moreno, Katherine Preston, Kenneth L. Wainstein; Cadwalader, Wickersham & Taft LLP;
October 23, 2015, previously published on Oct 14, 2015 On October 6, 2015, the UK Financial Conduct Authority (“FCA”) issued final rules formalizing whistleblower procedures to be implemented by certain banks, building societies, credit unions, investment firms, and insurance and reinsurance companies.1 While the FCA’s final rules do...
|The Yates Memo: Corporate Officers Under the Gun|
Jackie M. Bennett, Edwin J. Broecker; Taft Stettinius & Hollister LLP;
September 18, 2015, previously published on September 15, 2015Much has been written in the last days regarding the “Yates Memorandum” and whether it will truly mark the beginning of individual responsibility for corporate fraud or whether it is just more of the same, in a different format. The Yates Memo refers to the Sept. 9, 2015, memorandum...
|The DOJ’s New Policy of Prosecuting Individuals|
Harry Sandick, Julia Stepanova; Patterson Belknap Webb & Tyler LLP;
September 15, 2015, previously published on September 2015On September 9, 2015, Deputy Attorney General Sally Yates of the United States Department of Justice (“DOJ” or the “Department”) issued a new policy memorandum (the “Yates Memo”) entitled “Individual Accountability for Corporate Wrongdoing.” This...
|New DOJ Policy Regarding Individual Accountability for Corporate Wrongdoing|
Jodi L. Avergun, Raymond Banoun, Bret A. Campbell, Peter B. Clark, Adam S. Lurie; Cadwalader, Wickersham & Taft LLP;
September 14, 2015, previously published on September 10, 2015On September 9, 2015, the U.S. Department of Justice announced a new policy regarding individual accountability for corporate misconduct. The policy, described in a memo authored by Deputy Attorney General Sally Yates1, posits that “one of the most effective ways to combat corporate...
|D.C. Circuit Upholds Attorney-Client Privilege Again in In re Kellogg Brown & Root, Inc.|
Jodi L. Avergun, Bret A. Campbell, Adam S. Lurie, Katherine Preston; Cadwalader, Wickersham & Taft LLP;
August 19, 2015, previously published on August 17, 2015On August 11, 2015, the U.S. Court of Appeals for the D.C. Circuit granted a petition by Kellogg Brown & Root, Inc. (“KBR”) for a writ of mandamus in order to protect KBR’s assertion of attorney-client privilege over its prior internal investigation of alleged violations of...
|Maine Workers’ Compensation Board Appellate Division Holds that in a Claim for Death Benefits, Dependency Status is Determined as of the Date of Injury|
John J. Cronan, Evan M. Hansen, Nelson J Larkins; Preti, Flaherty, Beliveau & Pachios, LLP;
April 27, 2015, previously published on January 22, 2015In Foley v. Thermal Engineering International, Inc., Me. WCB App. Div. Decision No. 15-2 (January 13, 2015), the Workers' Compensation Board Appellate Division held that, in a claim to death benefits, dependency status is determined as of the date of injury.
|FinCEN Assesses $1 Million Penalty and Seeks to Bar Former MoneyGram Executive from Financial Industry|
Jodi L. Avergun, James A. Treanor; Cadwalader, Wickersham & Taft LLP;
April 14, 2015, previously published on December 22, 2014On December 18, 2014, the Financial Crimes Enforcement Network (“FinCEN”) assessed a $1 million civil monetary penalty against Thomas E. Haider, former Chief Compliance Officer at MoneyGram International Inc., for allegedly failing to ensure that his company complied with the anti-money...
|US Federal Appellate Courts Uphold Dismissal of Securities Fraud Claims Against Auditors in Two China Reverse Merger Cases|
Dana S. Douglas, Brian J. Massengill, Justin A. McCarty, Alexandra L. Newman; Mayer Brown LLP;
April 13, 2015, previously published on March 30, 2015In opinions issued on the same day, federal appellate courts for the Second Circuit and the Eleventh Circuit both recently affirmed dismissals of securities-fraud claims filed against independent audit firms that audited Chinese reverse-merger companies because the plaintiffs did not adequately...
|Utah Legislature Approves White Collar Crime Registry|
Stacey A. Bastone; Jackson Lewis P.C.;
March 30, 2015, previously published on March 17, 2015In an unprecedented move, the Utah Legislature has approved a measure to create the country’s first white-collar crime offender registry. Similar to convicted sex offenders registries, the measure calls for the publication of white-collar offenders’ names and aliases, a recent...
|Insufficient Evidence of Actual Losses Frustrates Company’s Restitution Bid under MVRA, Court Rules|
Ramsay C. McCullough; Jackson Lewis P.C.;
March 30, 2015, previously published on February 25, 2015The Mandatory Victims Restitution Act of 1996 (“MVRA”) provides that defendants convicted of crimes committed by “fraud or deceit” to compensate victims for the full amount of their losses.