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Publications
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06.10.2020Maintaining an Effective Compliance Program When Working RemotelyUpdatesAs countries around the world overcome the first wave of coronavirus infections, one thing is becoming apparent: Remote working will almost certainly become a permanent fixture of modern life for many.
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06.09.2020Compliance in a Remotely-Working WorldArticlesAs countries around the world overcome the first wave of coronavirus infections, one thing is becoming apparent: Remote working will almost certainly become a permanent fixture of modern life for many.
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05.14.2020Prosecutions Related to Coronavirus Stimulus BeginBlogsTwo new prosecutions announced by the Department of Justice mark some of the first prosecutions under the PPP, and signal where and how the government will be looking for wrongdoing.
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03.2015Ninth Circuit Limits Ability of Foreign Nationals to Challenge FCPA Charges from Abroad
ABA 29th Annual National Institute on White Collar Crime
As made clear in the DOJ and SEC’s joint Resource Guide to the Foreign Corrupt Practices Act (FCPA), U.S. prosecutors view foreign nationals as liable under the FCPA—regardless of whether they have taken any action in the United States—in cases where they aided and abetted, conspired, or acted as an agent of an issuer or domestic concern. However, the practical implications of enforcing the FCPA against individuals residing outside the U.S. raises a litany of questions about how, and when, foreign nationals can contest criminal allegations against them brought in U.S. courts. A recent denial of certiorari from the U.S. Supreme Court in Kim v. USDC CD CA, et al., left muddled the question of whether a foreign national can challenge an indictment from abroad.
White Collar Briefly
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Prosecutions Related to Coronavirus Stimulus Begin
As this blog has previously noted, the Coronavirus pandemic, like other crises before it, is likely to increase prosecutions for fraud, particularly under the Payment Protection Program (“PPP”) created by the federal government’s Coronavirus stimulus packages. Two new prosecutions announced by the Department of Justice mark some of the first prosecutions under the PPP, and... Continue Reading…
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DOJ Brings Novel RICO Charges Against Alleged Spoofers
The DOJ has raised the stakes in criminal spoofing enforcement, unveiling sweeping charges against three traders who allegedly conspired to manipulate the precious metals market. While the DOJ’s involvement in spoofing enforcement—an area previously dominated by civil regulators and SROs—has become more commonplace, the DOJ is using a new tactic in this latest enforcement action. ... Continue Reading…
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Supreme Court Declines to Resolve Circuit Split Over Liability in Tender Offer Suits
Section 14(e) of the Securities Exchange Act prohibits deceptive conduct when making a tender offer to shareholders. Recently, in Emulex Corp. v. Varjabedian, the United States Supreme Court declined to resolve a split among the circuit courts about what a plaintiff alleging a violation of Section 14(e) must prove. As a result, the Ninth Circuit... Continue Reading…
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Supreme Court Ruling Narrows Dodd-Frank Whistleblower Protections
Perhaps no part of the Dodd–Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) has garnered as much attention as its whistleblower provisions, which pay corporate whistleblowers bounties under some circumstances, and prevent employers from retaliating against whistleblowing employees. Often times, the bounties paid to whistleblowers under Dodd-Frank warrant the most attention-grabbing headlines. But Dodd-Frank’s... Continue Reading…
