Audit committees must aid management in navigating an increasingly complex regulatory framework.
the course of a safety and soundness examination, the bank examiners identify certain unusual transactions and bring the issue to the attention of management.
Scenario: In the course of a safety and soundness examination, the bank examiners identify certain unusual transactions and bring the issue to the attention of management.
In the mid-'80s Ivan Boesky was the harbinger of today's hedge fund operators. He functioned as an arbitrageur and amassed a very large fortune.
Two federal circuit courts have recently issued major decisions involving the False Claims Act ("FCA") that promise to have a major impact on future litigation.
The Department of Justice and the Securities and Exchange Commission have jointly issued long-awaited guidance on their interpretation and enforcement of the U.S. Foreign Corrupt Practices Act.
Banks are vulnerable to seizures of customer assets by the U.S. Government. This article describes the law and procedure surrounding the U.S. government’s asset forfeiture mechanism, an enforcement tool being deployed more frequently in the context of Foreign Corrupt Practices Act ...
In 1999, then-United States Deputy Attorney General Eric Holder issued the “Holder Memorandum”—a document that has come to profoundly impact the way in which corporations conduct internal investigations and deal with the government in the face of misconduct allegations.
Before the Dodd-Frank Act, the SEC’s authority to impose monetary penalties in administrative cease and desist proceedings was available against only certain “regulated persons,” including broker-dealer and investment adviser entities and their associated individuals.
Your company is entering a new market overseas. You hire a local lawyer to help you navigate the steps necessary to obtain a license to conduct business in that country.