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DOJ turns FCPA spotlight on financial services sector as enforcement efforts in Latin America continue

Morrison & Foerster LLP
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USA
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May 15 2013

Last week, the U.S. Department of Justice (DOJ) announced the indictment of two employees of a U.S. broker-dealer, Direct Access Partners, and a

With securities case dismissal, another loss in the southern district for LIBOR plaintiffs

Edwards Wildman Palmer LLP
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USA
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May 15 2013

On Monday, Southern District of New York Judge Shira Scheindlin dismissed the entire suit in Gusinsky v. Barclays, without leave to amend and with

Unprecedented FCPA wake-up call for U.S. broker-dealers and foreign banks: has the perfect FCPA storm finally arrived for U.S. financial markets?

Duane Morris LLP
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USA
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May 14 2013

On May 7, 2013, the U.S. Attorney's Office for the Southern District of New York (SDNY) unsealed extraordinary criminal charges against two

Financial services legislative and regulatory update

Mintz Levin Cohn Ferris Glovsky and Popeo PC
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USA
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May 13 2013

What had been a relatively quiet week, where until Friday it seemed like the biggest news was that Treasury Secretary Jack Lew was working on his

Dealing with civil investigative demands from the CFPB - rules, responses & pitfalls

Pillsbury Winthrop Shaw Pittman LLP
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USA
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May 8 2013

The Consumer Financial Protection Bureau's civil investigative demand ("CID") authority has recently presented significant compliance difficulties

Voluntary secondary market disclosure about bank loans

King & Spalding LLP
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USA
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May 8 2013

Recently, a Task Force made up of representatives of the American Bankers Association, the Bond Dealers of America, GFOA, the Investment Company

The 'civil-izing' of white-collar criminal enforcement

Morvillo Abramowitz Grand Iason & Anello PC
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USA
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May 7 2013

In recent congressional testimony, Attorney General Eric Holder made waves by acknowledging that "it becomes difficult for the Department of

International bribery charges against broker-dealer employees result from SEC exam

BuckleySandler LLP
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USA
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May 7 2013

On May 7, the DOJ charged two employees of a U.S. broker-dealer and a senior official in Venezuela's state economic development bank for their

FHFA updates securitization platform, contractual and disclosure framework progress

BuckleySandler LLP
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USA
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May 6 2013

On April 30, the FHFA published a progress report on the current design principles and functions on the common securitization platform for

Financial industry developments

Orrick Herrington & Sutcliffe LLP
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USA
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May 6 2013

On April 30, the FHFA issued its progress report on the steps being taken to establish a common securitization infrastructure for MBS. The FHFA is

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Search results

DOJ turns FCPA spotlight on financial services sector as enforcement efforts in Latin America continue

With securities case dismissal, another loss in the southern district for LIBOR plaintiffs

Unprecedented FCPA wake-up call for U.S. broker-dealers and foreign banks: has the perfect FCPA storm finally arrived for U.S. financial markets?

Financial services legislative and regulatory update

Dealing with civil investigative demands from the CFPB - rules, responses & pitfalls

Voluntary secondary market disclosure about bank loans

The 'civil-izing' of white-collar criminal enforcement

International bribery charges against broker-dealer employees result from SEC exam

FHFA updates securitization platform, contractual and disclosure framework progress

Financial industry developments

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