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Results: 11-20 of 799

Swiss national and former energy executive criminally charged under FCPA
  • Katten Muchin Rosenman LLP
  • USA
  • October 25 2013

In an illustration of the extraterritorial reach of the Foreign Corrupt Practices Act (FCPA), Alain Riedo, a Swiss citizen and the general manager of


Massachusetts District Court affirms scienter requirement of false statement crime
  • Katten Muchin Rosenman LLP
  • USA
  • May 24 2013

The District Court for the District of Massachusetts recently held that in order to obtain a conviction for making a false statement to a government


Citigroup unit sanctioned US $15 million by FINRA for equity research dissemination practices
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2014

Citigroup Global Markets Inc. was fined US $15 million by the Financial Industry Regulatory Authority, principally for supervisory failures relating


Deutsche Bank sanctioned almost US $200,000 by ICE Futures U.S. for one-time speculative limit violation; CME Group fines three firms for documentation issues related to EFRPs
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2014

Deutsche Bank AG was fined US $20,000 and required to disgorge profits of almost US $175,000 related to a single instance of violating position


Think tanks ask Supreme Court to clarify definition of “foreign official” in FCPA
  • Katten Muchin Rosenman LLP
  • USA
  • September 26 2014

Two think tanks, the Washington Legal Foundation and the Independence Institute, have filed an amicus brief in the Supreme Court on behalf of


SEC whistleblower report highlights new program’s activity and success
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2012

On November 15, the Securities and Exchange Commission released its Annual Report on the Dodd-Frank Whistleblower Program (DFWP), which is required by the Dodd-Frank Wall Street Reform and Consumer Protection Act


NFA notifies members of FinCEN advisory
  • Katten Muchin Rosenman LLP
  • USA
  • December 20 2013

The National Futures Association has notified member futures commission merchants (FCMs) and introducing brokers (IBs) that the Financial Crimes


Concurrent resolution of FCPA, export controls and sanctions violations demonstrates close cooperation of federal agencies
  • Katten Muchin Rosenman LLP
  • USA
  • December 13 2013

On November 26, the Department of Justice (DOJ) and the Securities and Exchange Commission announced an agreement with three subsidiaries of Swiss


Texas District Court denies class certification in IPO securities suit
  • Katten Muchin Rosenman LLP
  • USA
  • March 28 2014

The US District Court for the Northern District of Texas recently denied class certification for a securities action arising from alleged false and


Money manager sues SEC to stop administrative action in $1.5 billion CDO case
  • Katten Muchin Rosenman LLP
  • USA
  • March 28 2014

A money manager and his firm recently sued the Securities and Exchange Commission claiming that the agency violated their constitutional rights by