Searching Content indexed under White Collar Crime, Anti-Corruption & Fraud by Mauro Wolfe ordered by Published Date Descending.
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Reigning In The SEC: The Supreme Court Limits Disgorgement To A Five-Year Statute Of Limitations
In yet another setback for the SEC, the Supreme Court unanimously decided that disgorgement actions, a cornerstone of SEC enforcement, are subject to a five-year statute of limitations.
United States
7 Jun 2017
Time is Running Out for the SEC: The Circuit Split on Limiting SEC Disgorgement to a Five-Year Statute of Limitations Signals an Impending Major Change
Under the new Administration, we have been promised a new tone regarding how Government interfaces with the market.
United States
18 Apr 2017
U.S. Department Of Justice Announces New FCPA Pilot Program Designed To Encourage Companies To Self-Report Bribery
On April 5, 2016, the U.S. Department of Justice (DOJ), Fraud Section, announced a series of bold steps to encourage companies to come forward and disclose their wrongdoing in the anti-corruption arena.
United States
10 Apr 2016
Serious Fraud Office Issues Draft Code Of Practice On Deferred Prosecution Agreements
On 27th June 2013, the UK announced more details of new rules that would introduce Deferred Prosecution Agreements into the UK for corporate offences.
15 Jul 2013
Another One Bites The Dust: SECís Insider Trading Investigation Strategy Nabs Another Foreign Trader In Nearly Real Time
The Securities and Exchange Commission recently announced that it secured an emergency order freezing over $3 million in profits of a trader based in Bangkok, Thailand.
United States
19 Jun 2013
The Rise Of Multinational FCPA Criminal Prosecutions: First Ever Coordinated French And U.S. Action
The U.S. Securities and Exchange Commission and the U.S. Department of Justice joined with French enforcement authorities to announce charges against French-based oil and gas company Total S.A.
United States
10 Jun 2013
Historic U.S., China Agreement on Auditor Access Announced: Is This a Crack in the Wall Separating The Cross-Border Enforcement Cooperation Impasse?
On May 15, 2013, the U.S. Securities and Exchange Commission charged CEO Dejun Zou and board chair Amy Qiu, husband-and-wife executives at China-based RINO International Corporation, alleging that they engaged in a scheme to overstate the companyís revenues and divert $3.5 million in proceeds from a securities offering for their personal use.
United States
24 May 2013
Unprecedented FCPA Wake-Up Call For U.S. Broker-Dealers And Foreign Banks: Has The Perfect FCPA Storm Finally Arrived For U.S. Financial Markets?
On May 7, 2013, the U.S. Attorney's Office for the Southern District of New York unsealed extraordinary criminal charges against two registered representatives of a U.S. broker-dealer and a high-level Venezuelan government official for engaging in a "Massive International Bribery Scheme".
United States
22 May 2013
The Foreign Corrupt Practices Act (FCPA) Indictments Related To LATAM Are Unsealed
On April 5, 2013, the Department of Justice (DOJ) unsealed charges against four former executives of BizJet International Sales and Support, Inc., the U.S.-based subsidiary of Lufthansa Technik, AG, a company that provides aircraft maintenance, repair and overhaul services for alleged bribery payments in Latin America.
United States
15 Apr 2013
Foreign Traders Beware: Trading In US Markets Will Expose You To US Insider Trading Laws
On March 29, 2013, the Securities and Exchange Commission (SEC) announced the settlement of what appeared to be a routine insider trading case involving two traders.
United States
14 Apr 2013
Use It Or Lose It: U.S. Supreme Court Holds The SEC Must Bring Civil Enforcement Actions Within Five Years Of Wrongful Conduct
On February 27, 2013, the United States Supreme Court put a stop to the Securities and Exchange Commission's (SEC) practice of bringing civil enforcement actions outside the five-year statute of limitations.
United States
8 Mar 2013
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