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SEC officer director bars: by what standard?

Dorsey & Whitney LLP
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USA
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May 16 2013

Sometimes it can be difficult to determine if you actually won. This may be the case for the SEC with the Second Circuit's ruling in SEC v. Bankosky

Former Kentucky Agriculture Commissioner farmer and seven others charged with violating Kentucky ethics laws; farmer indicted by federal grand jury

Wiley Rein LLP
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USA
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May 16 2013

Richard "Richie" Farmer, the former Kentucky Commissioner of Agriculture from 2004 to 2011, has been charged with 42 counts of violating state ethics

Responding to California’s Transparency in Supply Chains Act

Holland & Knight LLP
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USA
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April 25 2012

Sweeping new legislation that went into effect in California earlier this year requires qualifying companies to detail and publicly disclose the nature and scope of their corporate compliance efforts to eliminate human trafficking, slavery and child labor from their global supply chains

White collar enforcement

Paul Hastings LLP
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USA
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May 17 2013

Litigation Partners Kenneth Breen and Thomas Zaccaro discuss white collar enforcement. Click here to watch video

Guidance on forensic accountant's obligations vis-à-vis investigated parties

De Brauw Blackstone Westbroek
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USA
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July 20 2012

Regulations for forensic accountants outline some of the fundamental principles that must be observed by accountants when conducting an investigation into a specific individual

Effective compliance program helps investment bank avoid FCPA criminal charges

Baker & McKenzie
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USA
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May 14 2012

When a former Morgan Stanley Managing Director pled guilty recently to a criminal violation of the U.S. Foreign Corrupt Practices Act ("FCPA"), the effectiveness of the bank's pre-existing anti-corruption compliance program convinced enforcers at the U.S. Department of Justice ("DOJ") and Securities and Exchange Commission ("SEC") not to charge the bank itself

The Second Circuit reinstates a securities fraud suit against Grant Thornton involving its audit of Winstar Communications’ 1999 financial statements

Simpson Thacher & Bartlett LLP
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USA
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July 30 2012

On July 19, 2012, the Second Circuit vacated a district court order granting summary judgment in favor of Grant Thornton LLP (“GT”) in a securities fraud action arising from GT’s audit of Winstar Communications, Inc.’s 1999 financial statements

Corporate compliance & internal controls: how much is enough?

Baker Botts LLP
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USA
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July 14 2012

Enforcement of anti-corruption and anti-bribery regulations, including the Foreign Corrupt Practices Act (“FCPA”) and the UK Bribery Act, remains a priority for government investigators in both the U.S. and abroad

Release of claims “known or unknown” bars unknown fraud claims

Wilk Auslander LLP
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USA
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March 4 2013

A New York court recently held that a general release releasing claims "whether known or unknown" covered fraud claims of which the plaintiffs were

Corporate veil allegations survive motion to dismiss in embezzlement case

Katten Muchin Rosenman LLP
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USA
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January 22 2010

The U.S. District Court for the Northern District of Illinois denied defendants’ motion to dismiss, ruling that, among other things, plaintiff properly pled the elements for piercing the corporate veil where there were particular allegations demonstrating a “unity of interest” between the individual and corporate defendants

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Search results

SEC officer director bars: by what standard?

Former Kentucky Agriculture Commissioner farmer and seven others charged with violating Kentucky ethics laws; farmer indicted by federal grand jury

Responding to California’s Transparency in Supply Chains Act

White collar enforcement

Guidance on forensic accountant's obligations vis-à-vis investigated parties

Effective compliance program helps investment bank avoid FCPA criminal charges

The Second Circuit reinstates a securities fraud suit against Grant Thornton involving its audit of Winstar Communications’ 1999 financial statements

Corporate compliance & internal controls: how much is enough?

Release of claims “known or unknown” bars unknown fraud claims

Corporate veil allegations survive motion to dismiss in embezzlement case

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