When announcing the much publicized $125 million fine against JP Morgan for violating recordkeeping rules, the U.S. Securities and Exchange Commission (“SEC”) Chair stated that financial institutions “did not act as if they...more
5/18/2023
/ Artificial Intelligence ,
CFTC ,
Department of Justice (DOJ) ,
Electronic Communications ,
Employees ,
Enforcement ,
Financial Institutions ,
Financial Services Industry ,
Fines ,
Investigations ,
Popular ,
Securities and Exchange Commission (SEC) ,
Written Communications
When a company discovers that a crime may have been committed by individuals within the company, or is alerted by the government of that possibility, the company will often hire an outside law firm to conduct an internal...more
10/3/2022
/ Attorney-Client Privilege ,
Cooperation ,
Corporate Counsel ,
Corporate Crimes ,
Corporate Governance ,
Department of Justice (DOJ) ,
Disclosure ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Government Investigations ,
Internal Investigations ,
Malfeasance ,
Privilege Waivers ,
Securities and Exchange Commission (SEC) ,
Work-Product Doctrine
Civil lawsuits are an unavoidable and expected consequence of operating in a heavily regulated industry. While CEOs and other pharmaceutical executives may lose sleep over the outcome of civil trials and the potential...more