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Confidential Information › Department of Justice (DOJ) › Securities and Exchange Commission (SEC)

Wiley Rein LLP

Panuwat Insider Trading Verdict Foreshadows More Civil and Criminal Enforcement

Wiley Rein LLP on

On April 5, 2024, a federal jury in California found Matthew Panuwat liable of insider trading in a closely followed case that may serve as the harbinger for expanded insider trading enforcement. In SEC v. Panuwat (N.D....more

Barnea Jaffa Lande & Co.

Document Subpoena from US Authorities: Critical Steps

Barnea Jaffa Lande & Co. on

Receiving a document subpoena from the DOJ, the SEC, or any other US regulatory authority is a stressful and unpleasant situation.   Things may seem even more stressful and complicated if you are a foreign national or company...more

Akin Gump Strauss Hauer & Feld LLP

Increasing Government Enforcement in Insider Trading of Commodities

Akin Gump Strauss Hauer & Feld LLP on

Key Points - The DOJ and CFTC have filed insider trading charges against a Houston-based energy trader for allegedly disclosing confidential information to a third party who then used the information to trade profitably. ...more

Lowenstein Sandler LLP

Effective and Efficient Pre-Transaction FCPA Diligence: How to Leverage Compliance and ESG to Avoid Buyer’s Remorse and Other...

Lowenstein Sandler LLP on

The arduous process of FCPA compliance requires risk teams to digest and cross-reference a morass of information – from internal data analysis to human representatives collecting interviews on the ground. Diligence failures...more

Farella Braun + Martel LLP

Revenge of the Whistle-blower: Possible Consequences of Compliance Failures

Farella Braun + Martel LLP on

In a company with a robust compliance culture, potential whistleblowers can express their concerns without fear of retribution. By contrast, the penalty for a culture that silences whistleblowers just got steeper. Companies...more

Manatt, Phelps & Phillips, LLP

Corporate Investigations and White Collar Defense - December 2016

Manatt, Phelps & Phillips, LLP on

Insider Trading: Supreme Court Affirms Salman - Why it matters: On December 6, 2016 the Supreme Court decided Salman v. U.S., in which it upheld the petitioner’s insider trading conviction. The Court found its 1983...more

King & Spalding

Post-Newman Reality: Investigations Involving Unwitting “Tips” to Close Friends and Relatives Will Continue

King & Spalding on

Earlier this week, the United States Supreme Court declined to hear the federal government’s appeal of the ruling by the Court of Appeals for the Second Circuit in U.S. v. Newman. This leaves intact the Second Circuit’s quid...more

Manatt, Phelps & Phillips, LLP

Corporate Investigations & White Collar Defense - September 2015

Manatt, Phelps & Phillips, LLP on

No Dog Days of August for the SEC—A Recap of a Busy Month - Why it matters: Who says there is a government slowdown in August? Not for the SEC. August 2015 turned out to be very busy indeed for the agency, which...more

The Volkov Law Group

Supreme Court Called Upon to Review the Newman Case and Address Insider Trading Liability

The Volkov Law Group on

The Supreme Court is very likely to enter into the fray over the Second Circuit’s controversial Newman decision concerning insider-trading liability. The government has filed a petition for certiorari, and the stakes are...more

Dorsey & Whitney LLP

Cooperation, the SEC and FOIA

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A critical part of cooperating with an SEC or DOJ investigation for FCPA or other possible violations is the production of documents. In order for the company to assess what happened it must conduct an internal investigation...more

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