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SEC enters into its first FCPA non-prosecution agreement

Alston & Bird LLP
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USA
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April 25 2013

On April 22, the Securities and Exchange Commission (SEC) announced that it had entered into a nonprosecution agreement (NPA) with Ralph Lauren Corp

How hedge funds and private equity firms can manage Foreign Corrupt Practices Act risks

Alston & Bird LLP
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USA
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March 27 2013

In recent years, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) have aggressively investigated and enforced both

First FCPA enforcement action of the year highlights government focus on high-risk industries and countries

Alston & Bird LLP
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USA
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March 8 2013

In the first Foreign Corrupt Practices Act (FCPA) enforcement action of the year, the Securities and Exchange Commission (SEC) announced on February

Recent FCPA opinions provide insight into the scope of personal jurisdiction over foreign nationals

Alston & Bird LLP
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USA
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March 1 2013

In recent years, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) have demonstrated an increased commitment to

DOJ and SEC’s resource guide on the FCPA provides important guidance to companies doing business abroad

Alston & Bird LLP
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USA
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November 20 2012

On November 14, 2012, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) jointly released their long-anticipated guidance on the Foreign Corrupt Practices Act (FPCA

New ruling broadens “whistleblower” definition for Dodd-Frank anti-retaliation claims

Alston & Bird LLP
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USA
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October 3 2012

A U.S. district court judge from the District of Connecticut ruled last week that individuals who make disclosures that are required or protected under the Sarbanes-Oxley Act (SOX) or the Securities Exchange Act of 1934 (SEA) may also qualify as whistleblowers under the Dodd-Frank anti-retaliation provisions, regardless of how those disclosures were made

The Supreme Court to revisit the “fraud-on-the-market” presumption

Alston & Bird LLP
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USA
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June 28 2012

In 1988, in Basic Inc. v. Levinson, the Supreme Court first recognized that investors seeking to pursue claims under Section 10(b) of the Securities Exchange Act of 1934 may invoke in an appropriate case a rebuttable presumption of reliance based on the “fraud-on-the-market” theory

SEC approves final rule for whistleblower provisions of Dodd-Frank Act

Alston & Bird LLP
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USA
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June 8 2011

The Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), which was signed into law on July 21, 2010, included a provision establishing a program to pay an award to eligible whistleblowers who provide the Securities and Exchange Commission (SEC) andor other government authorities with original information that leads to successful enforcement of federal securities law violations that result in monetary sanctions in excess of $1 million

U.S. district court grants BankAtlantic’s post-trial motion for judgment as a matter of law for failure to prove loss causation

Alston & Bird LLP
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USA
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May 6 2011

In another significant federal court decision on the loss causation element of federal securities fraud claims, last week U.S. District Judge Ursula Ungaro (S.D. Florida) overturned a jury verdict for Plaintiffs in the securities fraud class action suit, In re BankAtlantic Bancorp, Inc. Sec. Litig., No. 07-Civ-61542 (UU

SEC Inspector General reports on timing of SEC's Goldman suit

Alston & Bird LLP
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USA
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October 14 2010

On Wednesday, the SEC's Office of Inspector General (OIG) released a report clearing the SEC of accusations that its decision to bring a fraud case against Goldman Sachs, as well as the timing of its decision to do so, were influenced by a political agenda

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