Search results
Order by most recent / most popular / relevance
Results: 1-10 of 21
Second Circuit eases SEC's burden in "aiding and abetting" cases
- McGuireWoods LLP
- -
- USA
- -
- August 12 2012
This week the U.S. Court of Appeals for the Second Circuit “lowered the bar” for the U.S. Securities and Exchange Commission to successfully bring enforcement actions against “aiders and abettors” of securities fraud
Sentencing Commission amends guidelines applicable in fraud cases
- McGuireWoods LLP
- -
- USA
- -
- May 7 2012
The United States Sentencing Commission recently unveiled a number of key amendments to the Federal Sentencing Guidelines regarding securities fraud, insider trading, and financial institution fraud
FSA: banks have "more work to do" on anti-bribery compliance
- McGuireWoods LLP
- -
- United Kingdom
- -
- April 5 2012
The UK’s Financial Services Authority (FSA) published on March 29, 2012, the findings of its “thematic review into anti-bribery and corruption systems and controls in investment banks.”
CFTC enforcement: a busy Q1 in "ponzimonium"
- McGuireWoods LLP
- -
- USA
- -
- April 4 2012
The Commodity Futures Trading Commission has had a busy first quarter: the CFTC’s Division of Enforcement brought 21 new enforcement actions in Q1 2012, and settled several matters pending from prior years
Diamondback - a sign of the times
- McGuireWoods LLP
- -
- USA
- -
- February 8 2012
The U.S. Securities and Exchange Commission announced recently that it had settled insider trading charges with Diamondback Capital Management LLC
SEC & DOJ settle bribery charges against Smith & Nephew
- McGuireWoods LLP
- -
- USA
- -
- February 7 2012
The U.S. Securities and Exchange Commission (SEC) announced on Monday a settlement with London-based medical device company Smith & Nephew PLC to resolve charges that the company violated the US Foreign Corrupt Practices Act (FCPA) when its US and German subsidiaries bribed public doctors in Greece
SEC takes "neither admit nor deny" settlements off the table...sometimes
- McGuireWoods LLP
- -
- USA
- -
- January 19 2012
The Securities and Exchange Commission announced on Friday, January 6th a significant new policy: companies that admit to criminal charges in securities fraud matters will no longer be able to settle SEC charges without admitting guilt in enforcement proceedings stemming from the same conduct
SEC Chairman Schapiro seeks higher penalties in enforcement actions
- McGuireWoods LLP
- -
- USA
- -
- December 8 2011
On November 28, 2011, SEC Chairman Mary Schapiro sent a letter to Senator Jack Reed, Chairman of the Senate Subcommittee on Securities, Insurance and Investment, requesting “statutory changes that would further enhance the effectiveness of the Commission’s enforcement program by expanding the Commission’s authority to seek monetary penalties for the most serious securities law violations.”
SEC's Whistleblower Office releases annual report
- McGuireWoods LLP
- -
- USA
- -
- December 6 2011
In November, the SEC’s Office of the Whistleblower released its Annual Report on the Dodd-Frank Whistleblower Program, detailing the quantity, quality and nature of the complaints it received during its first several weeks of operation, and describing the Commission’s responses to those tips
CFTC whistleblower program goes into effect
- McGuireWoods LLP
- -
- USA
- -
- October 25 2011
The U.S. Commodity Futures Trading Commission’s Whistleblower Incentives and Protection program went quietly into effect on October 24th
Current Search
- Workarea - White Collar Crime
- Firm Name - McGuireWoods LLP
- Author - Kurt E. Wolfe