Nicholas Velez

Lowenstein Sandler LLP

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DOJ Announces New Safe Harbor Policy for Reporting of Misconduct in Connection With M&A Transactions

On Oct. 4, Deputy Attorney General Lisa Monaco (DAG Monaco) announced a new safe harbor policy for voluntary self-disclosures made in connection with mergers and acquisitions (the Safe Harbor Policy). At the outset of her...more

10/13/2023 / Anti-Corruption , Antitrust Division , Compliance , Corporate Governance , Corporate Misconduct , Department of Justice (DOJ) , Foreign Corrupt Practices Act (FCPA) , National Security , Safe Harbors , Voluntary Disclosure

DOJ Highlights Commitment to Enforcing Deferred Prosecution Agreements: Ericsson to Plead Guilty and Pay Over $200 Million for...

In October 2021, the U.S. Department of Justice (DOJ) accused Ericsson Inc., a Swedish telecommunications manufacturer, of breaching a deferred prosecution agreement (DPA) that stemmed from charges that Ericsson violated the...more

3/7/2023 / Bribery , Compliance Monitoring , Deferred Prosecution Agreements , Department of Justice (DOJ) , Failure To Disclose , Foreign Corrupt Practices Act (FCPA)

Regulators Crack Down on the Use of Messaging Apps as Wall Street Banks and Investment Advisers Hit With $1.8 Billion in Fines

On September 27, 2022, regulators from the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) handed out over $1.8 billion in fines to financial institutions in connection with...more

10/6/2022 / Books & Records , Broker-Dealer , CFTC , Commercial Electronic Messages , Electronic Communications , Financial Institutions , Fines , Investment Adviser , OCIE , Securities and Exchange Commission (SEC) , Securities Exchange Act , Technology , Training

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