It has been more than a decade since the Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) first proposed imposing anti-money laundering (“AML”) requirements on investment advisers. While FinCEN has yet to...more
In a recent decision that provides important guidance in the developing law related to government seizure of electronic records in criminal investigations, on June 17, 2014, the United States Court of Appeals for the Second...more
In the last two weeks, in two separate SEC enforcement actions, judges in the United States District Court for the Southern District of New York issued rulings addressing when the United States Securities and Exchange...more
2/25/2013
/ Bribery ,
Email ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Foreign Nationals ,
Minimum Contacts ,
Motion to Dismiss ,
NYSE ,
Personal Jurisdiction ,
Sarbanes-Oxley ,
SEC v Sharef ,
SEC v Straub ,
Securities and Exchange Commission (SEC) ,
Siemens ,
Statute of Limitations