The American Bar Association held its 40th Annual National Institute on White Collar Crime conference on March 5, 6, and 7, 2025, in Miami, Florida. The conference featured robust panel discussions with the federal and state...more
The U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) held its annual SEC Speaks conference in Washington, DC on April 8 and 9, 2019. The conference featured remarks from the Chairman and commissioners,...more
4/12/2019
/ Administrative Law Judge (ALJ) ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Investigations ,
Investment Banks ,
Investors ,
Kokesh v SEC ,
Lorenzo v SEC ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations
On March 1, 2018, the Criminal Division of the U.S. Department of Justice (“DOJ”) announced that it has expanded the scope of cases in which it will consider issuing a formal declination of criminal charges for a company that...more
3/13/2018
/ Cooperation ,
Criminal Convictions ,
Criminal Penalties ,
Declination ,
Deferred Prosecution Agreements ,
Department of Justice (DOJ) ,
Enforcement Actions ,
FCPA Corporate Enforcement Policy (CEP) ,
FCPA Guidance ,
Foreign Corrupt Practices Act (FCPA) ,
Incentives ,
Internal Investigations ,
Remediation ,
Self-Reporting
The U.S. Securities and Exchange Commission (“SEC” or the “Commission”) held its annual SEC Speaks conference in Washington, DC on February 23 and 24, 2018 and provided remarks from the Chairman and commissioners, discussions...more
3/1/2018
/ Absolute Immunity ,
Administrative Law Judge (ALJ) ,
Asset Management ,
Asset Recovery ,
Broker-Dealer ,
Complex Financial Products ,
Cybersecurity ,
Enforcement Actions ,
Insider Trading ,
Investment Adviser ,
Market Abuse ,
OCIE ,
Policies and Procedures ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Whistleblower Protection Policies