On January 27, 2022, the United States Court of Appeals for the Second Circuit issued a decision in United States v. Connolly, overturning the 2018 fraud convictions of two former traders at a large financial institution. A...more
2/4/2022
/ Appeals ,
Bank Fraud ,
British Bankers' Association ,
Criminal Convictions ,
Department of Justice (DOJ) ,
False Statements ,
Fraud ,
Libor ,
Misleading Statements ,
Reversal ,
UK ,
Wire Fraud
On December 17, 2021, a financial institution agreed to pay $200 million in fines to the Securities and Exchange Commission and Commodities Futures Trading Commission for allowing employees to discuss business on their...more
1/7/2022
/ CFTC ,
Commodity Exchange Act (CEA) ,
Compliance ,
Corporate Fines ,
Department of Justice (DOJ) ,
Discovery ,
Electronic Communications ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Government Investigations ,
Instant Messaging Apps ,
Internal Controls ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
WhatsApp ,
White Collar Crimes
On October 28, 2021, Deputy Attorney General (Deputy AG) Lisa O. Monaco gave remarks explicitly warning companies that the US Department of Justice (DOJ) intends to increase its efforts and devote additional resources to...more
11/2/2021
/ Compliance ,
Compliance Monitoring ,
Cooperation ,
Corporate Crimes ,
Deferred Prosecution Agreements ,
Department of Justice (DOJ) ,
Enforcement Authority ,
Government Investigations ,
Individual Accountability ,
Non-Prosecution Agreements ,
Policy Statement ,
Professional Misconduct ,
White Collar Crimes ,
Yates Memorandum
The US Department of Justice has taken its first enforcement action against COVID-19 fraud, illustrating its previously stated commitment to prosecute “bad actors” attempting to exploit the global health crisis. On March 22,...more
As we all respond to COVID-19 (the coronavirus), we should keep an eye on the responsive measures being taken by the US Department of Justice (DOJ), and consider how those measures might impact companies and individuals...more
In the scramble to come into compliance before the January 1, 2020 deadline, companies may have overlooked a key - and potentially costly - requirement in the California Attorney General draft regulations to the California...more
Multiple retailers and restaurant groups are facing a spate of recently filed class actions alleging violations of the Americans with Disabilities Act (ADA) for their failure to offer gift cards containing Braille that are...more
On May 2, 2019, the US Department of the Treasury’s Office of Foreign Assets Control (OFAC) issued guidance titled “A Framework for OFAC Compliance Commitments” (Guidance), providing direction regarding what OFAC considers to...more
5/15/2019
/ Anti-Money Laundering ,
Audits ,
Chief Compliance Officers ,
Compliance ,
Corporate Governance ,
Corporate Management ,
Department of Justice (DOJ) ,
Dubai ,
Enforcement ,
Enforcement Actions ,
Enforcement Authority ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Corrupt Practices Act (FCPA) ,
Guidance Update ,
Hong Kong ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Internal Controls ,
Monetary Authority of Singapore ,
Office of Foreign Assets Control (OFAC) ,
Personal Liability ,
Risk Assessment ,
Securities and Exchange Commission (SEC) ,
Singapore ,
Training ,
U.S. Treasury ,
UK
Last week, the US Department of Justice (DOJ) released its updated guidance on how prosecutors should evaluate corporate compliance programs. The revised guidance reiterates and expands on the hallmarks of successful...more
On January 15, 2019, the US Court of Appeals for the Ninth Circuit revived a previously dismissed Americans with Disabilities Act (ADA) website accessibility class action against Domino’s Pizza. In Robles v. Domino’s Pizza,...more
1/28/2019
/ Americans with Disabilities Act (ADA) ,
Appeals ,
Class Action ,
Department of Justice (DOJ) ,
Disability Discrimination ,
Dominos ,
Reversal ,
Title III ,
Web Content Accessibility Guidelines (WCAG) ,
Website Accessibility ,
Website Owner Liability ,
Websites
On November 29, 2018, the US Department of Justice (DOJ) modified prior guidance on individual liability for corporate misconduct by affording federal prosecutors discretion to focus on “individuals who play significant roles...more
The US Department of Justice (DOJ) plans to take a more active role in reviewing and objecting to class action settlements under a rarely used procedure established by the Class Action Fairness Act (CAFA) more than a dozen...more
On June 29, a three-judge panel of the U.S. Court of Appeals for the D.C. Circuit heard the National Federation of the Blind’s (NFB) challenge to a Department of Transportation (DOT) Final Rule regarding air carriers’ duty to...more
7/19/2016
/ Advanced Notice of Proposed Rulemaking (ANPRM) ,
Air Carriers ,
Americans with Disabilities Act (ADA) ,
Class Action ,
Department of Justice (DOJ) ,
Department of Transportation (DOT) ,
Disability Discrimination ,
Final Rules ,
Jurisdiction ,
Public Accommodation ,
Website Accessibility