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Join the Securities Litigation and Enforcement Group on LinkedIn2016 A Record Year for Bribery Cases Against Companies — But Not Individuals – Law Blog – WSJ
The Justice Department instructed its prosecutors in 2015 to focus more on charging individuals in corporate criminal investigations, but only charged one person in connection with 11 corporate foreign bribery cases brought in 2016, a new report from the law firm Jones Day points out. via 2016 A Record Year for Bribery Cases Against Companies […]
Q4 2016 slow for new SEC clients — Accounting Today
With a few notable exceptions, the last three months of 2016 were slow for auditors attempting to land new Securities and Exchange Commission clients. Among large firms, KPMG brought in the most new clients, with four, but Crowe Horwath topped the list among its peers by netting two new clients (see “Q4 Client Gains & […]
FBI International Corruption Squads: What are they, and what do they do? – The FCPA Blog
In its December press release announcing the General Cable Corporation settlement, the DOJ also drew attention to its cooperation with the Federal Bureau of Investigation International Corruption Squads. If you’re wondering what these International Corruption Squads are working on, you’re not alone. via FBI International Corruption Squads: What are they, and what do they do? – […]
Cornerstone Research: Securities Lawsuit Filings Rise to Highest Level in 20 Years | The D&O Diary
According to the latest annual securities litigation survey, securities class action lawsuit filings were at “record” levels in 2016. A surge of federal court merger objection lawsuit filings during the year accounted for much of the activity, but even so-called “traditional” securities lawsuit filings were at elevated levels, according to report, which was release jointly […]
Some key cyber-security tips for financial firms | Compliance Week
Given the intensifying scrutiny of the SEC and of FINRA, financial firms should consider re-doubling data security efforts, and launching a preemptive strike to counter future allegations of lackluster cyber-security—below are some suggestions on how. via Some key cyber-security tips for financial firms | Compliance Week
Regulators use big data to turn up enforcement heat — InvestmentNews
Last fall, the agency reported a record number of enforcement cases. Former SEC Chairwoman Mary Jo White attributed the increase to its use of data to “uncover tough cases” and bring “novel and significant actions” to enhance investor protection. It’s an effort that has been underway for several years and has involved hiring personnel with […]
Weil Gotshal Hires Former Federal Prosecutor Sarah Coyne From Debevoise | The American Lawyer
Coyne joins Weil as a partner less than two years after she started at Debevoise, her first stop in private practice after nearly a decade and a half as a federal prosecutor. She previously spent about 11 years as an assistant U.S. attorney in the Eastern District of New York, including a stint of more […]
Former SEC Chair Mary Jo White Speaks — ThinkAdvisor
Waddell: Do you think Jay Clayton, selected by President Donald Trump to be next SEC chair, is a good choice? White: I know him some from New York. […] I’ve met with him, I think he’s very impressive, he’s smart, he’s principled, he’s a really nice guy. I think he’ll be a really strong leader. […]
Securities Docket News Wire for January 30, 2017
Get caught up with the Securities Docket News Wire for January 30, 2017.