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Results: 1-10 of 7,614

SEC charges broker-dealer for failure to protect against insider trading by employees

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • September 30 2014

The Securities and Exchange Commission for the first time brought charges against a broker-dealer for failure to adequately protect against insider

Spotlight on FinCEN: an increasing focus on AML regulation and enforcement

  • Baker & McKenzie
  • -
  • USA
  • -
  • October 7 2014

Although the Financial Crimes Enforcement Network ("FinCEN") is often perceived as the aggregator of Suspicious Activity Reports ("SARs") and other

Digital insights and trends: can Bitcoin support money laundering charges?

  • BuckleySandler LLP
  • -
  • USA
  • -
  • October 2 2014

Bitcoin owners and exchange operators are coming face-to-face with prosecutors focused on money laundering crimes, leading to novel legal arguments

2012 year-end FCPA update

  • Gibson Dunn & Crutcher LLP
  • -
  • USA
  • -
  • January 2 2013

The whispers have begun. By comparison to the blistering pace set in recent years, FCPA prosecutions were down in 2012 (though still far higher than

First criminal prosecution for spoofing: high frequency trading firm owner indicted in Northern District of Illinois

  • Cadwalader Wickersham & Taft LLP
  • -
  • USA
  • -
  • October 7 2014

On October 2, 2014, the U.S. Attorney for the Northern District of Illinois announced the indictment of Michael Coscia, the owner of Panther Energy

SEC issues first-ever whistleblower award to a compliance and audit professional

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • October 1 2014

The SEC recently announced its first-ever whistleblower award to a company employee who performed audit and compliance functions, and stated that it

What public companies and their officers, directors and significant shareholders should do about the SEC’s crackdown on the untimely filing of changes in insiders’ shareholdings

  • McCarter & English LLP
  • -
  • USA
  • -
  • September 30 2014

Earlier this month, the Securities and Exchange Commission announced enforcement charges against 28 officers, directors and significant shareholders

FinCEN issues proposed rule on AML customer due diligence

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • October 1 2014

On August 4, 2014, the Financial Crimes Enforcement Network ("FinCEN"), a bureau of the Department of Treasury, issued a Notice of Proposed

With record-breaking Dodd-Frank award, SEC invites the world to blow the whistle

  • DLA Piper LLP
  • -
  • USA
  • -
  • October 2 2014

The SEC has announced its largest-ever Dodd-Frank whistleblower award: between $30 and $35 million. While the amount of the award is eye-popping on

CFPB enforcement action targets bank’s add-on product billing practices

  • BuckleySandler LLP
  • -
  • USA
  • -
  • October 1 2014

On September 24, the CFPB announced a consent order with a large National Bank to address alleged unfair practices related to add-on identity theft