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All that Glimmers is Not Insurance Agency Gold
  • Nexsen Pruet
  • USA
  • September 19 2017

Diversity jurisdiction requires complete diversity among plaintiffs and defendants. While it is difficult for a defendant to remove a case with a


Business Guide to Anti-Corruption Laws - 2017 Mid-Year Update
  • Jenner & Block LLP
  • Global, United Kingdom, USA
  • September 18 2017

This mid-year update discusses the most significant anticorruption enforcement developments from the first six months of 2017, with a focus on


Should We or Shouldn't We? - That Is the Question
  • Duane Morris LLP
  • USA
  • September 18 2017

Over the past few years the number of states that have legalized marijuana in some form has grown substantially to the point where, as of this writing


SEC Files Administrative Proceeding Against An Investment Services Firm For Improperly Recommending Higher-Fee Mutual Funds To Investment Clients
  • Shearman & Sterling LLP
  • USA
  • September 18 2017

On September 14, 2017, the Securities and Exchange Commission (“SEC”) filed an administrative proceeding against SunTrust Investment Services, Inc


FINRA Panel Fines Broker-Dealer US $750,000 for Failing to Tailor AML Program to Actual Business:
  • Katten Muchin Rosenman LLP
  • USA
  • September 17 2017

C.L. King & Associates, Inc., a broker-dealer, was fined US $750,000 by a hearing panel of the Financial Industry Regulatory Authority for misleading


SEC Begins Proactively Suggesting Some Promoters Halt ICOs; the UK Financial Conduct Authority Joins Worldwide Regulators Saying that Digital Tokens Issued as Part of ICOs May Be Securities
  • Katten Muchin Rosenman LLP
  • USA
  • September 17 2017

Following the release of the Report of Investigation by the Securities and Exchange Commission in July, which concluded that certain digital tokens


DOJ Signals Changes to Corporate-Crime Prosecution
  • Morgan Lewis
  • USA
  • September 15 2017

The US Department of Justice (DOJ) may soon announce changes to its policies for prosecuting white-collar crime. During a question-and-answer


District Court Grants Preliminary Settlement Approval in SCRA Class Action Suit
  • Buckley Sandler LLP
  • USA
  • September 15 2017

On September 13, the U.S. District Court for the Eastern District of North Carolina granted preliminary approval to settle a class-action suit


FCPA Sting Operation Results in Conspiracy Charge for Retired U.S. Army Colonel
  • Buckley Sandler LLP
  • USA
  • September 15 2017

On August 29, the DOJ announced that it had unsealed a criminal complaint and FBI affidavit charging retired U.S. Army colonel Joseph Baptiste “for


SFO Director Urges Department to Compete with DOJ on Home Turf
  • Buckley Sandler LLP
  • United Kingdom, USA
  • September 15 2017

In a September 4 speech, Serious Fraud Office (SFO) Director David Green urged the SFO to lead anti-corruption enforcement efforts against