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Criminal Prosecution Corporate Officers Corporate Misconduct

BCLP

Crime-Fraud Exception Destroys Privilege for Communications Between Former CEO of Public Company and His Outside Lawyer

BCLP on

On February 7, 2025, the Second Circuit ruled that the crime-fraud exception would prevent the  former CEO of a public company from invoking attorney-client privilege to prevent an outside lawyer and his law firm from...more

BakerHostetler

Top Regulators Speak at the New York City Bar Association’s Compliance Institute

BakerHostetler on

In response to compliance officer personal liability concerns and increasing SEC regulations, Commissioner Peirce proposed the creation of a compliance advisory committee, which would bring together SEC regulators and...more

Foley Hoag LLP

United States v. Elizabeth Holmes and Ramesh Balwani

Foley Hoag LLP on

I. WHY THIS CASE MADE THE LIST - A highly publicized and long-running multi-agency action against the former Chief Executive Officer and the former Chief Operating Officer of Theranos Inc. resulted in criminal convictions...more

Society of Corporate Compliance and Ethics...

Compliance Perspectives: The German Corporate Sanctions Act

Germany has proposed legislation, likely to be ratified this Fall, that would mark a major change in how the government there enforces criminal violations in the corporate sector. The Corporate Sanctions Act, or CSA, would,...more

Barnea Jaffa Lande & Co.

Israel's Prosecution Policy for the Criminal Prosecution and Punishment of Corporations

Barnea Jaffa Lande & Co. on

In October 2019, the Israel State Attorney published a new guideline on its office’s policy when considering the prosecution of a corporation, as well as on how it should determine its position on the manner of punishing...more

Cadwalader, Wickersham & Taft LLP

The Responsible Corporate Officer Doctrine in the Wake of DeCoster

Executive Summary: The most important Park doctrine case in over forty years may be heading to the Supreme Court – but not if the federal government has its way. The Responsible Corporate Officer doctrine (“RCO doctrine”),...more

Dorsey & Whitney LLP

The Yates Memo: A New DOJ Investigative Approach - Update

Dorsey & Whitney LLP on

Since at least the market crisis there has been a clamor to convict senior corporate officials of federal felonies – or at least name them in a civil law enforcement action by the SEC or another agency. For years the...more

Arnall Golden Gregory LLP

The Yates Memo – A Warning to Execs and Employees: Effects of Expanding the DOJ’s Efforts to Combat Corporate Wrongdoing and Hold...

“The buck needs to stop somewhere where corporate misconduct is concerned,” said Attorney General Eric Holder in a September 17, 2014 speech to NYU School of Law. He went on to say that “corporations are structured to blur...more

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