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You are browsing the archive for April 2011.
What Does Effective FCPA Compliance Look Like?
Last week, Johnson & Johnson entered into a deferred prosecution agreement with the Justice Department for violating the Foreign Corrupt Practices Act (FCPA). Although the agreement has been touted as novel for the reduced fine J&J received in exchange for cooperating against other companies and individuals, the agreement confirms the importance of assessing FCPA policies [...]
Deconstructing the Galleon Insider Trading Case
The prosecution of Mr. Rajaratnam is not an isolated fight but rather part of an ongoing doctrinal war pitting the rather extreme views of the Securities and Exchange Commission against the carefully considered law of insider trading articulated by the Supreme Court. The SEC does not draw a distinction between trading on the basis of [...]
Report: Wilmer Partner Daniel Gallagher May Be Next SEC Commissioner
Candidacy of Washington, D.C. lawyer Gallagher is reportedly at an “advanced stage.”
SEC Absorbs Body Blows But Remains Undefeated in Lawsuits Against It
Lawsuit by Madoff investors dismissed.
New York Lawyer Jason Goldfarb Pleads Guilty in Probe of Ex-Galleon Trader
Defendant admits to “horrible mistake.”
Securities Docket News Wire for April 22, 2011
Get caught up with the Securities Docket News Wire for April 22, 2011.
Rajaratnam Prosecutors Inhabit ‘Imaginary World,’ Dowd Says
Defense argues information at issue was actually public knowledge.
Buffett and Sokol Sued Over Trading in Lubrizol Shares
Derivative lawsuit asks seeks disgorgement of Sokol’s trading profits in Lubrizol and damages.
“Special Report: From Hannibal Lecter to Bernie Madoff”
FBI now using expertise in behavioral profiling to target white collar criminals.
Massachusetts to Regulate Expert-Network Firms in Wake of Insider Cases
Proposed regulation will require state-registered investment advisers to obtain written certification about confidentiality issues.