2017 marked the fortieth anniversary of the Foreign Corrupt Practices Act (FCPA), and showed continued robust enforcement against both individuals and companies by the U.S. Department of Justice (DOJ) and the U.S. Securities...more
3/9/2018
/ Anti-Bribery ,
Anti-Corruption ,
Bribery ,
Compliance ,
Corporate Counsel ,
Corruption ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Federal Pilot Programs ,
Foreign Corrupt Practices Act (FCPA) ,
Foreign Official ,
Securities and Exchange Commission (SEC) ,
White Collar Crimes
These days it seems that everybody is considering getting into the distributed ledger technology business causing the United States Securities and Exchange Commission (“SEC”) and the securities plaintiffs’ bar to take notice....more
Welcome to BakerHostetler’s 2017 Mid-Year Cross-Border Government Investigations and Regulatory Enforcement Review. This edition delivers news, analysis and insights into key developments in the cross-border investigations...more
9/20/2017
/ Anti-Money Laundering ,
CFTC ,
Corporate Counsel ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Economic Sanctions ,
Enforcement Actions ,
Export Controls ,
Joint Comprehensive Plan of Action (JCPOA) ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
SFO ,
UK ,
Whistleblowers
The first half of 2017 has been eagerly anticipated following the record-setting year in 2016 for Foreign Corrupt Practices Act (“FCPA”) enforcement by both the U.S. Department of Justice (“DOJ”) and the U.S. Securities and...more
8/29/2017
/ Bribery ,
Compliance ,
Corruption ,
Deferred Prosecution Agreements ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Government Officials ,
Securities and Exchange Commission (SEC) ,
Trump Administration ,
White Collar Crimes
Welcome to the 2017 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
The purpose of this report is to provide a periodic survey – in addition to our Practice Team...more
7/31/2017
/ Broker-Dealer ,
CFTC ,
Commodities ,
Dodd-Frank ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Insider Trading ,
Internal Reporting ,
Investment Adviser ,
Kokesh v SEC ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
SLUSA ,
Whistleblower Protection Policies ,
Whistleblowers
Welcome to the 2016 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
The purpose of this Report is to provide a periodic survey, apart from our team Executive...more
2/1/2017
/ Broker-Dealer ,
CFTC ,
Commodities ,
Conflicts of Interest ,
Dodd-Frank ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Foreign Corrupt Practices Act (FCPA) ,
Futures ,
Hedge Funds ,
Insider Trading ,
Investment Adviser ,
Popular ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
SLUSA ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
Halfway through 2016, the international community has seen a staggering variety of cross-border investigations and enforcement actions. Brexit, the release of the Panama Papers, allegations of widespread sports doping and the...more
9/16/2016
/ Broker-Dealer ,
CFTC ,
Corporate Counsel ,
Department of Justice (DOJ) ,
EMIR ,
Export Controls ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Hackers ,
Money Laundering ,
Panama Papers ,
Popular ,
Sanctions ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Spoofing ,
UK
Welcome to the 2016 Mid-Year Report From the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team.
The purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters...more
8/2/2016
/ Bebo v SEC ,
Corporate Counsel ,
Dirks v SEC ,
Enforcement Actions ,
Exclusive Jurisdiction ,
Food and Drug Administration (FDA) ,
Merrill Lynch v Manning ,
Popular ,
PSLRA ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Litigation ,
SLUSA ,
Young Lawyers
Globalization has connected people, companies, and products across national borders more than ever. Goods and services developed in one part of the world are readily available in other parts of the world and technology is...more
3/11/2016
/ Accounting Fraud ,
Anti-Money Laundering ,
Dodd-Frank ,
Government Investigations ,
Insider Trading ,
Racketeering ,
Regulatory Oversight ,
Sanctions ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Spoofing ,
UK ,
Whistleblowers
Welcome to the 2015 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we...more
2/25/2016
/ Corporate Counsel ,
Dodd-Frank ,
Foreign Corrupt Practices Act (FCPA) ,
Halliburton v Erica P. John Fund ,
Hedge Funds ,
Insider Trading ,
Libor ,
RMBS ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
US v Newman ,
US v Salman ,
Whistleblowers
Welcome to the 2015 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we...more
8/5/2015
/ 401k ,
Administrative Procedure Act ,
Bank of New York (BNY) Mellon ,
Broker-Dealer ,
CFTC ,
Commodities ,
Commodity Exchange Act (CEA) ,
Conflicts of Interest ,
Cybersecurity ,
Department of Justice (DOJ) ,
Dodd-Frank ,
Duty to Monitor ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
False Statements ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Form 10-Q ,
Futures ,
Hedge Funds ,
Insider Trading ,
Interest Rates ,
Investment Adviser ,
KBR (formerly Kellogg Brown & Root) ,
Libor ,
Loss Causation ,
Merrill Lynch ,
Omnicare v Laborers District Council ,
OMWI ,
Pensions ,
Perez v Mortage Bankers Assoc ,
Popular ,
Registration Statement ,
Regulation SHO ,
RICO ,
RMBS ,
Scienter ,
SCOTUS ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Litigation ,
SLUSA ,
Stocks ,
Tibble v Edison Int ,
Tippees ,
UK ,
US v Newman ,
Whistleblowers
In This Issue:
- I. Supreme Court Cases Review
- II. Securities Law Cases
- III. Insider Trading Cases
- IV. Settlements
- V. Investment Adviser and Hedge Fund Cases
- VI. CFTC Cases and...more
2/10/2015
/ CFTC ,
Compliance ,
Enforcement ,
Enforcement Actions ,
Financial Institutions ,
Hedge Funds ,
Insider Trading ,
Investment Adviser ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Tolling
Welcome to the 2014 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. Its purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we...more
7/31/2014
/ Banking Sector ,
Banks ,
CFTC ,
Commodities ,
Deferred Prosecution Agreements ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement ,
Enforcement Actions ,
FIfth Third Bancorp v Dudenhoeffer ,
Financial Institutions ,
Futures ,
Halliburton v Erica P. John Fund ,
Hedge Funds ,
Insider Trading ,
Investment Adviser ,
Investment Funds ,
Municipal Securities Issuers ,
Publicly-Traded Companies ,
Risk Alert ,
SCOTUS ,
Securities ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Stock Drop Litigation ,
Whistleblower Awards