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Government/Regulatory Enforcement Blog

Articles: 1-10 of 125

Second Circuit limits the application of Mcdonnell v. United States and declines to extend the potential scope of liability in FCPA cases

USA - August 13 2019 On August 9, 2019, the United States Court of Appeals for the Second Circuit denied the appeal by a Chinese real estate developer of his 2017…

Technology Company Resolves DOJ And SEC FCPA Allegations, With Hungary Subsidiary Entering Three-Year, Monitor-Free NPA

USA - July 30 2019 On July 22, 2019, the United States Department of Justice (“DOJ”) and Securities and Exchange Commission (“SEC”) announced that they had resolved…

FINRA Releases New Guidance On Extraordinary Cooperation Credit

USA - July 17 2019 On July 11, 2019, FINRA provided additional guidance on obtaining extraordinary cooperation credit to supplement its prior Enforcement Guidance…

In Significant Shift, SEC Will Consider Offers Of Settlement And Collateral Waiver Applications Together

USA - July 9 2019 On July 3, 2019, Chairman Jay Clayton of the Securities and Exchange Commission (“SEC”) issued a Statement Regarding Offers of Settlement (the…

Government/Regulatory Enforcement

USA - July 2 2019 French Oil And Gas Company And U.S. Subsidiary Fined $296 Million Over Alleged Foreign Bribery Schemes Involving Brazil And Iraq On June 25, 2019…

French Oil And Gas Company And U.S. Subsidiary Fined $296 Million Over Alleged Foreign Bribery Schemes Involving Brazil And Iraq

USA - July 2 2019 On June 25, 2019, the Department of Justice (“DOJ”) announced that it had entered into a three-year Deferred Prosecution Agreement (“DPA”) with…

SEC Awards $3 Million To Two Whistleblowers Who First Made Internal Reports, Even Though Reporting To SEC Was Not “Voluntary”

USA - June 11 2019 On June 3, 2019, the U.S. Securities and Exchange Commission (“SEC”) announced a joint award of $3 million to two whistleblowers who the SEC stated…

SEC Files Contested Complaint Over Unregistered $100 Million Initial Coin Offering, In Case That Could Clarify Application Of Registration Requirements To Cryptocurrency

USA - June 11 2019 On June 4, 2019, the U.S. Securities and Exchange Commission (“SEC”) sued Kik Interactive Inc. (“Kik”) for conducting an unregistered offering of…

DOJ Criminal Division Announces Updated Corporate Compliance Program Guidance

USA - May 6 2019 On April 30, 2019, the United States Department of Justice, Criminal Division (“DOJ”), released an updated version of its guidance on “Evaluation of…

D.C. Circuit Clarifies “Willfulness” Requirement For Investment Advisers Act Violations, In Decision With Possible Ramifications For SEC Sanction Authority

USA - May 6 2019 On April 30, 2019, the United States Court of Appeals for the District of Columbia Circuit vacated an aggregate $150,000 in fines that the U.S…