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Enforcement Actions Cooperation Investigations

Thomas Fox - Compliance Evangelist

All Things Investigations: Navigating New DOJ Directives - Declinations, Cooperation, and Whistleblower Programs with Mike...

Welcome to the Hughes Hubbard Anti-Corruption & Internal Investigations Practice Group’s podcast, All Things Investigation. In this podcast, host Tom Fox is joined by HHR lawyers Mike DeBernardis and Katherine Taylor about...more

BCLP

Caught in the crosshairs: How the PRA’s new Early Account Scheme impacts individuals

BCLP on

The Prudential Regulation Authority (“PRA”) has kicked-off 2024 by crystallising its new approach to enforcement. The key change is the introduction of the Early Account Scheme (“EAS”), which provides a mechanism for the...more

Littler

DHS Announces Special Immigration Protection for Workers Who Help in Labor and Employment Agency Investigations

Littler on

The Department of Homeland Security (DHS) has recently announced a streamlined process for foreign workers to request deferred action. Deferred action is a type of prosecutorial discretion to defer removal action...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Corporate Compliance Enforcement Conference - July 25th, 9:00 am - 4:45 pm CT

Is Your Compliance Program Designed for the Current Enforcement Landscape? Data protection, anti-corruption, antitrust, supply chains, economic sanctions and even the software employees use to communicate are all subjects...more

Troutman Pepper Locke

Keeping Up With the Bureau Episode 1: Overview of CFPB and State AG Initiatives/Expansion - The Consumer Finance Podcast

Troutman Pepper Locke on

Please join Consumer Financial Services Partner Chris Willis and his guests and colleagues Ashley Taylor and Stefanie Jackman in the first episode of a special four-part series about recent developments with the Consumer...more

Health Care Compliance Association (HCCA)

OCR Investigator: Goal Is to Uncover ‘Root Cause,’ Remedy Harm From Violations

Report on Patient Privacy 21, no. 5 (May 2021) - Given the hundreds of thousands of HIPAA covered entities (CEs) and business associates (BAs) and the two dozen or so enforcement actions the HHS Office for Civil Rights...more

Jones Day

JONES DAY TALKS®: CFTC and DOJ Target Derivatives Trading Across Industries

Jones Day on

In an effort to pursue unlawful trading in the derivatives markets, the U.S. Commodity Futures Trading Commission ("CFTC") and U.S. Department of Justice ("DOJ") have in recent years engaged in unprecedented levels of...more

ArentFox Schiff

Deputy Associate Attorney General Sheds Light on DOJ’s FCA Priorities at Annual False Claims Act Conference

ArentFox Schiff on

“Enforcing the False Claims Act is a top priority for the Department—not just for our office,” said Deputy Associate Attorney General Stephen Cox, the Keynote Speaker for the 2020 Advanced Forum on False Claims and Qui Tam...more

Vedder Price

FINRA Issues Supplemental Guidance on Giving Credit for Extraordinary Cooperation

Vedder Price on

On July 11, 2019, FINRA issued Regulatory Notice 19-23 to restate and supplement its prior guidance to member firms on the circumstances under which FINRA awards credit for providing "extraordinary cooperation" during an...more

Jones Day

FINRA Clarifies When Credit for Extraordinary Cooperation Will Be Awarded in Investigations

Jones Day on

The Situation: In recent years, broker-dealers have been seeking further transparency from the Financial Industry Regulatory Authority ("FINRA") on what constitutes "extraordinary" cooperation with its investigations and when...more

Akin Gump Strauss Hauer & Feld LLP

Yates Memo Revisions Encourage Cooperation, but Fail Fully to Achieve a Common-Sense Approach to Civil Enforcement

• Recent Justice Manual changes roll back Yates memo requirements for corporations seeking cooperation credit in enforcement actions, including civil enforcement actions. • Corporations can now receive maximum cooperation...more

Blank Rome LLP

DOJ Revises Yates Memo and Relaxes Approach to Corporate Cooperation Credit

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The Department of Justice (“DOJ”) announced that it is stepping back from its hard-line approach to corporate cooperation credit in which a corporation was not eligible for credit unless it disclosed all relevant facts about...more

McGuireWoods LLP

Yates Memo Revised – DOJ Steps Back From All-or-Nothing Approach to Corporate Cooperation Credit

McGuireWoods LLP on

The Justice Department’s revisions to the so-called “Yates Memo” continues a series of significant white collar enforcement policy changes. We hope this summary is helpful to businesses and their leaders in adjusting to these...more

A&O Shearman

SEC, Under New Safe Harbor, Awards More Than $2.2 Million To Whistleblower Who First Reported To Another Federal Agency

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On April 5, 2018, the Securities and Exchange Commission (“SEC”) announced a whistleblower award of more than $2.2 million in connection with a report of misconduct. The whistleblower, a former company insider, first reported...more

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