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
Late last week, the Department of Justice’s Deputy Attorney General, Lisa Monaco, announced several new guidelines for prosecutors to use when determining how to assess and treat corporate offenders....more
9/21/2022
/ Compliance ,
Compliance Monitoring ,
Corporate Crimes ,
Corporate Misconduct ,
Department of Justice (DOJ) ,
Enforcement ,
Individual Accountability ,
New Guidance ,
Prior Wrongful Acts ,
Recidivism ,
Self-Disclosure Requirements ,
Transparency
Introduction -
China’s top anti-corruption watchdogs recently released a new anti-bribery Guideline designed to focus on multi-national corporations and individuals that pay bribes in China, as opposed to bribe recipients,...more
Amid escalating tensions between the United States and China over the last few years, the United States Department of Justice (“DOJ”) has formally prioritized criminal prosecutions of Chinese nationals and companies, and...more
10/29/2020
/ CFIUS ,
China ,
China Initiative ,
Criminal Investigations ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Economic Espionage Act ,
FBI ,
FIRRMA ,
Foreign Agents Registration Act (FARA) ,
Foreign Corrupt Practices Act (FCPA) ,
Foreign Entities ,
Foreign Nationals ,
Hackers ,
Intellectual Property Protection ,
Joe Biden ,
National Security ,
Presidential Elections ,
RICO ,
Trade Secrets ,
Trump Administration ,
United States
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
In light of the global COVID-19 pandemic, some public companies in Hong Kong are struggling to meet their financial reporting obligations under the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong...more
4/2/2020
/ Audit Committee ,
Board of Directors ,
Coronavirus/COVID-19 ,
Financial Reporting ,
Hong Kong ,
Hong Kong Securities and Futures Commission (HKSFC) ,
Hong Kong Stock Exchange ,
Insider Information ,
Listing Rules ,
Publicly-Traded Companies ,
Reporting Requirements ,
Securities ,
Securities and Futures Ordinance (SFO) ,
SEHK
In the midst of the current market volatility in Hong Kong, tumbling oil prices and recent U.S. stock market turbulence, one may say that the markets are in “stressed” conditions. As the impacts of the COVID-19 pandemic on...more