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FCPA Guidance released by DOJ and SEC
  • Winston & Strawn LLP
  • USA
  • December 6 2012

On November 14, 2012, the Department of Justice and the Securities and Exchange Commission released their much-anticipated joint non-binding guidance “A Resource Guide to the U.S. Foreign Corrupt Practices Act” (the Guide


Guidance
  • Winston & Strawn LLP
  • USA
  • December 3 2012

On November 14th, the SEC and the Department of Justice released A Resource Guide to the U.S. Foreign Corrupt Practices Act


Commissioner Aguilar proposes recidivist tracking
  • Winston & Strawn LLP
  • USA
  • October 22 2012

On October 18th, SEC Commissioner Luis A. Aguilar told the Securities Enforcement Forum that since its inception, the agency's whistleblower program has received 2,820 whistleblower tips from the U.S. and 45 other countries


MF Global executives re-interviewed
  • Winston & Strawn LLP
  • USA
  • October 22 2012

On October 17th, Reuters reported the Justice Department and CFTC have recently re-interviewed several former MF Global executives amid speculation that new evidence has emerged concerning the disappearance of customer funds


Maximizing utility to compensate Ponzi scheme victims
  • Winston & Strawn LLP
  • USA
  • December 3 2012

On November 29th, the Seventh Circuit addressed whether the district court erred in approving a SEC-appointed receiver's use of the "rising tide" method for calculating the distribution of a Ponzi scheme's receivership assets


Financial services update April 28 2014 judicial developments
  • Winston & Strawn LLP
  • USA
  • April 28 2014

On April 25, the Second Circuit partially reinstated a shareholder lawsuit alleging that Barclays and its former officers misrepresented the bank's


SEC releases first annual report on Dodd-Frank whistleblower program
  • Winston & Strawn LLP
  • USA
  • December 3 2012

Despite Dodd-Frank’s attempt to encourage whistleblowers to come forward through monetary awards, the SEC report reveals that, of the 3,001 whistleblower reports made, only one award has yet been paid, for $45,000 (although this figure is likely to increase), in the program’s first year


SEC announces new financial crime enforcement initiatives
  • Winston & Strawn LLP
  • USA
  • July 17 2013

The SEC has created three new initiatives to enhance the efforts of its Enforcement Division in investigations of financial crime. The Financial


Registration renewal for money service businesses
  • Winston & Strawn LLP
  • USA
  • December 3 2012

On November 20th, the Financial Crimes Enforcement Network reminded certain money service businesses of the need to electronically file their registration renewals


Financial services update February 24 2014 feature: Foreign Corrupt Practices Act
  • Winston & Strawn LLP
  • USA
  • February 24 2014

The SEC's 2014 priorities include continued, rigorous enforcement of the Foreign Corrupt Practices Act ("FCPA"). As noted by the agency in January, a