News & Analysis as of

Settlement Securities and Exchange Commission (SEC) Investigations

Foley & Lardner LLP

SEC Enforcement Action Against Church & Dwight Director: Lessons for Outside Directors

Foley & Lardner LLP on

The SEC’s settlement with James R. Craigie, former CEO, chairman, and director of Church & Dwight Co. Inc., for violating proxy disclosure rules by standing for election as an independent director without disclosing his close...more

Dechert LLP

DAMITT Q2 2024: Abandonments Dominate the Podium in Merger Enforcement

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The U.S. agencies concluded 11 significant merger investigations in the first half of 2024—just one shy of the total concluded in all of 2023. Activity has picked up considerably since last year but is still below the...more

Dechert LLP

DAMITT Q1 2024: Merger Enforcement Begins 2024 with a Bang

Dechert LLP on

The U.S. agencies announced the conclusion of six significant merger investigations in Q1 2024, double the number seen last quarter. This marks the end of six quarters of three or fewer significant investigations. In line...more

Thomas Fox - Compliance Evangelist

Ten Top Lessons from Recent FCPA Settlements-Lesson No. 10, Getting to Self-Disclosure: Speak Up, Triage and Internal...

Over this series, I have reviewed the messages communicated by the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) from three key Foreign Corrupt Practices Act (FCPA) enforcement actions regarding...more

K&L Gates LLP

Recent Settlements Provide Insight on the SEC's Approach to Self-Reporting and Cooperation Credit in Enforcement Actions

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Introduction - A perennial message from the Securities and Exchange Commission (SEC) Division of Enforcement is to extol the benefits of cooperation with enforcement investigations. The link between cooperation and a...more

A&O Shearman

Overcoming eDiscovery-related chat data challenges: Part 1 - the basics

A&O Shearman on

Chat applications are a fact of life now. Many employees in all sectors are using it to communicate and collaborate. The prevalence of this data type means that searching only standard document types such as emails is no...more

Husch Blackwell LLP

The Justice Insiders Podcast: Feds Danske to a New Tune

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Host Gregg N. Sofer is joined by Salvador Hernandez, former senior FBI official and private-sector compliance officer and current senior compliance and ethics advisor at Husch Blackwell, to discuss the recent U.S. Department...more

Latham & Watkins LLP

SEC Investigations Guide - Second Edition: December 2022

Latham & Watkins LLP on

Even public companies with a strong code of conduct, an exemplary tone at the top, robust internal controls, and a culture of compliance may face allegations of misconduct that can lead to an investigation by the Division of...more

Patterson Belknap Webb & Tyler LLP

Notable SEC Decisions: 2022 H1

Each year, the U.S. Securities and Exchange Commission (SEC) publishes its enforcement priorities – a reminder that, although the Division of Examinations (EXAMS) remains committed to monitoring compliance with (and...more

Goodwin

SEC Issues No-Action Relief On Registered Funds’ Custody Of Loan Interests

Goodwin on

In this Issue. The U.S. Securities and Exchange Commission (SEC) was very active this week, having (i) issued no-action relief allowing registered funds to engage in self-custody of interests in loans that are originated,...more

Faegre Drinker Biddle & Reath LLP

The $180 Million Chinese Coffee Case for Attempting to Manage Earnings

Last week, on December 16, 2020, Chinese-based coffee chain Luckin Coffee Inc. (“Luckin”) agreed to a $180 million settlement with the United States Securities and Exchange Commission (“SEC”). Luckin’s American Depositary...more

Proskauer - The Capital Commitment

Voluntary Remediation and the SEC: Six Key Elements and Three Potential Pitfalls

A recent settled SEC order, In re Arlington Capital Management, Inc. and Joseph F. LoPresti, highlights the potential benefits of voluntarily taking steps to remediate conduct or practices that could run afoul of the SEC’s...more

Akin Gump Strauss Hauer & Feld LLP

Red Notice Newsletter - July 2014

Welcome to the July 2014 edition of Red Notice, a publication of Akin Gump Strauss Hauer & Feld LLP. This month on the anticorruption front, two Noble Corporation executives settle with the U.S. Securities and Exchange...more

The Volkov Law Group

Federal Judges And Corporate Settlement Agreements

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FCPA commentators frequently characterize the Department of Justice as the investigator, prosecutor, judge and jury when it comes to corporate FCPA investigations and settlements. Given the fact that few corporations, if...more

The Volkov Law Group

The Harder They Fall

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As the old saying goes, even a broken clock is correct two times a day. My prediction several weeks ago is turning out to be on target. FCPA enforcement is continuing and will increase throughout the year – DOJ/SEC...more

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