This week the DOJ published revisions to its Corporate Enforcement Policy designed to even further encourage companies to make voluntary self-disclosures of wrongdoing within their ranks, cooperate with investigations, and...more
1/20/2023
/ Compliance ,
Corporate Crimes ,
Corporate Fraud ,
Corporate Misconduct ,
Department of Justice (DOJ) ,
FCPA Corporate Enforcement Policy (CEP) ,
Federal Sentencing Guidelines ,
Investigations ,
Remedial Actions ,
Securities Fraud ,
Self-Disclosure Requirements
Key Takeaways -
The COVID-19 coronavirus outbreak has undoubtedly increased firms’ exposure to market abuse risks in a number of ways:
Due to the rapidly changing consequences of restrictions caused by COVID-19 for...more
4/7/2020
/ Business Continuity Plans ,
Compliance ,
Coronavirus/COVID-19 ,
Financial Conduct Authority (FCA) ,
Global Market ,
Hong Kong ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Hong Kong Stock Exchange ,
Insider Information ,
Liquidity ,
Market Abuse ,
Publicly-Traded Companies ,
Remote Working ,
Securities and Exchange Commission (SEC) ,
SEHK ,
UK ,
United States
The Serious Fraud Office (“SFO”) brought fraud related charges against three directors and one employee of Sustainable AgroEnergy plc (“SAE”), a subsidiary of Sustainable Growth Group (“SSG”) on 14 August 2013, as part of a...more