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Still Following the Money: FinCEN, Money Laundering, and the Bank Secrecy Act
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • May 24 2017

Late last week, Congressional intelligence committees reportedly received some information from the U.S. Financial Crimes Enforcement Network (FinCEN


FINRA Updates Its Sanction Guidelines
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • April 26 2017

Earlier this month, FINRA announced changes to its Sanction Guidelines through Notice to Members 17-13. FINRA’s Sanction Guidelines are used by FINRA


DOJ Issues New Guidance on the Evaluation of Corporate Compliance Programs in Federal Fraud Investigations
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • March 2 2017

On February 8th, the U.S. Department of Justice (DOJ) quietly issued new guidance on how the agency evaluates corporate compliance programs during


Delaware Court Affirms Utility of Non-Reliance Clause in Dismissing Fraud Claim
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • February 22 2017

In IAC Search, LLC v. Conversant LLC (fka ValueClick, Inc.), 2016 WL 6995363 (Del. Ch. Nov. 30, 2016), the Delaware Court of Chancery provided a


U.S. Supreme Court Confirms that a Corporate Insider Receives a “Personal Benefit” by Providing Confidential Information to a Trading Relative or Friend, Affirming Conviction for Insider Trading
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • December 9 2016

In Salman v. United States, No. 15-628, 580 U.S. ___, 2016 WL 7078448 (2016), the United States Supreme Court (Alito, J.) unanimously affirmed the


HHS OIG Publishes Final Rule on Anti-Kickback Statute: Safe Harbors And Monetary Penalties
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • December 8 2016

On December 6, 2016 the U.S. Department of Health & Human Services, Office of Inspector General (HHS-OIG) issued two final rules relating to the


Embraer’s FCPA Deferred Prosecution Agreement and $205 Million Payment Demonstrate Need for Adequate Internal Controls
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • November 30 2016

Brazilian aircraft manufacturer Embraer SA (“Embraer”) will pay the United States government $205 million to settle allegations that the company


First FCPA Case Against Hedge Fund
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • October 13 2016

On September 29, 2016, the Securities and Exchange Commission (the “SEC”) announced that Och-Ziff Capital Management Group (“Och-Ziff”) agreed to pay


Eleventh Circuit Holds That a Corporation Is Not Distinct From Its Agents For Purposes of a RICO Enterprise, Following Sister Circuits
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • September 16 2016

In Ray v. Spirit Airlines, Inc., No. 15-13792, 2016 WL 4578347 (11th Cir. Sept. 2, 2016), the United States Court of Appeals for the Eleventh Circuit


Ninth Circuit Permits SEC to Assert Standalone Claim for False Sarbanes-Oxley Certification and Confirms Disgorgement Remedy Against CEO and CFO Despite Lack of Personal Involvement In Underlying Misconduct
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • September 12 2016

In Securities & Exchange Commission v. Jensen, No. 14-55221, 2016 WL 4537377 (9th Cir. Aug. 31, 2016), the United States Court of Appeals for the