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FTC issues new Red Flags Rule guidance

Hogan Lovells
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USA
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June 17 2013

The Federal Trade Commission ("FTC") recently issued a revised guidance ("Guide") on the Red Flags Rule ("Rule") (see "Fighting Identity Theft with

False Claims Act focus 2013: enforcement developments in the financial services industry

Hogan Lovells
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USA
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June 5 2013

The Eric Holder Justice Department (DOJ) demonstrated in its first four years the scope and intensity with which it will use its most potent tool for

White collar roundup - June 2013

Day Pitney LLP
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USA
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June 3 2013

The Internal Revenue Service (IRS) issued a Policy Statement that it will follow the holding of United States v. Warshak from the U.S. Court of

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

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

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

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

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

This week at the UK regulators - 7 May 2013

Clifford Chance LLP
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United Kingdom
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May 7 2013

The FCA has remained active on all fronts during the past week. It has charged more individuals in connection with criminal investigations into

Amendment of the Act on the Reporting and Use of Certain Financial Transaction Information

Yoon & Yang LLC
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South Korea
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May 3 2013

The amendment to the Act on the Reporting and Use of Certain Financial Transaction Information (the "Act"), announced on March 21, 2012, became

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Search results

FTC issues new Red Flags Rule guidance

False Claims Act focus 2013: enforcement developments in the financial services industry

White collar roundup - June 2013

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

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

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?

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

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

This week at the UK regulators - 7 May 2013

Amendment of the Act on the Reporting and Use of Certain Financial Transaction Information

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