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SEC Chairman Announces Significant Changes To Commission Procedures For Considering Disqualification Waivers
On July 3, 2019, Chairman Jay Clayton of the Securities and Exchange Commission (SEC) issued a Statement Regarding Offers of Settlement (the "Public Statement") to announce a significant shift in the SEC's process of...
United States
9 Aug 2019
2
Shearman & Sterling's Recent Trends And Patterns In The Enforcement Of The Foreign Corrupt Practices Act (FCPA)/FCPA Digest
Shearman & Sterling's bi-annual Trends & Patterns in FCPA Enforcement report provides insightful analysis of recent enforcement trends and patterns in the US...
United States
10 Jan 2017
3
Second Circuit Accepts Controversial "Inflation-Maintenance" Theory Of Securities Fraud Liability
In so-called "price maintenance" securities fraud cases, plaintiffs argue that a misrepresentation that does not cause a stock's price to rise can nevertheless be actionable under Section 10(b) of the Exchange Act.
United States
11 Oct 2016
4
D.C. Circuit Upholds Constitutionality Of SEC Administrative Proceedings
On August 9, 2016, a three-judge panel of the United States Court of Appeals for the District of Columbia Circuit issued Lucia v. SEC...
United States
19 Aug 2016
5
To Self-Report Or Not To Self-Report, That Remains The Question After The Justice Department's Latest Effort To Encourage Self-Reporting
On April 5, 2016, the United States Department of Justice, Criminal Division, Fraud Section launched a one-year Pilot Program that invites companies to self-report potential violations...
United States
4 May 2016
6
Eighth Circuit Holds Presumption Of Reliance Rebutted Under Halliburton II And Reverses Class Certification In Securities Action
The Best Buy action involves three alleged misrepresentations—all of which related to one another and occurred within a few hours
United States
19 Apr 2016
7
SEC Settlement With Layne Christensen Raises New Questions On The Government’s Understanding Of The Business Nexus Element Of The FCPA
Last week the SEC settled charges against Layne Christensen for various violations of the FCPA.
United States
11 Nov 2014
8
Securities Enforcement 2014 Mid-Year Review
While not nearly as transformative and dramatic as the first half of 2013, the first six months of 2014 was just as busy and productive.
United States
6 Aug 2014
9
So You Want To See Messi, Neymar, Ronaldo, And Xavi: Brazil Issues Directive Barring Government Officials From Receiving World Cup Tickets
The Office of the Comptroller General in Brazil issued a sweeping directive barring government officials from accepting offers to attend or participate in the upcoming 2014 FIFA World Cup.
United States
6 Jun 2014
10
DOJ Scores First Antitrust Extradition: More To Come?
The U.S. Department of Justice has won a major victory in its effort to prosecute and deter international cartels.
United States
14 Apr 2014
11
SEC Enforcement Year In Review - 2013
Marked by leadership changes, high-profile trials, and shifting priorities, 2013 was a turning point for the Enforcement Division of the Securities and Exchange Commission.
United States
17 Feb 2014
12
Global Convergence On Anti-Corruption Compliance: A Canadian Example
Niko Resources Ltd., an international oil and natural gas exploration and production company headquartered in Calgary, recently pleaded guilty to violations of Canada’s Corruption of Foreign Public Officials Act (CFPOA) and agreed to implement compliance procedures and periodically report on that implementation to the Court and to the Royal Canadian Mounted Police.
United States
8 Nov 2011
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