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
A divided panel of the U.S. Court of Appeals for the Second Circuit held, on December 27, 2022, in United States v. Blaszczak (“Blaszczak II”) that an agency’s confidential, pre-decisional information did not count as...more
1/18/2023
/ Appeals ,
Centers for Medicare & Medicaid Services (CMS) ,
Confidential Information ,
Fraud ,
Hedge Funds ,
Insider Trading ,
Kelly v United States ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Wire Fraud
The Securities and Exchange Commission (the “SEC”) on July 21, 2022, filed a complaint (the “SEC Complaint”) alleging insider trading violations against an insider, his brother, and a friend, claiming that the trio engaged in...more
8/15/2022
/ Coinbase ,
Crypto Exchanges ,
Cryptocurrency ,
Digital Assets ,
Enforcement Actions ,
Financial Services Industry ,
Insider Trading ,
Misappropriation ,
Non-Public Information ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Violations