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This Article discusses the recent plea agreement between the United States and Danske Bank. It argues that the Department of Justice has advanced a new and evolving theory of liability...

Arizona Attorney General Kris Mayes has filed the first-ever criminal charges against a prediction market platform for allegedly operating an illegal gambling business, accusing the CFTC-regulated platform of accepting bets from Arizona residents on state elections.

The FTC continues to prioritize consumer protection, taking significant steps to eliminate fraud in the payments system by enforcing court orders.

Individual AML compliance officers appear to be increasingly threatened with liability for failure to detect and prevent wrongdoing at their financial institutions.

Insider trading is back in the spotlight.

This episode of Ask the Expert, part of AIMA’s focused series on key regulatory topics, explores the rapidly evolving enforcement landscape surrounding prediction markets.

Registered broker-dealers (BDs) are subject to a variety of recordkeeping requirements that are promulgated and enforced by the U.S. Securities and Exchange Commission (Commission or SEC), the various states, and self-regulatory agencies such as the Financial Industry Regulatory Authority (FINRA).

The CEO of a Brazil-based petrochemical company pleaded guilty to DOJ bribery charges and other violations of the Foreign Corrupt Practices Act ("FCPA").

A San Jose, California, communications technology company agreed to settle SEC charges for violating the Foreign Corrupt Practices Act ("FCPA").

Patrick J. Egan and Ryan T. Becker authored the Bloomberg BNA Corporate Law & Accountability Report article, "DOJ Announces Increased Foreign Corrupt Practices Act Enforcement Measures."

The DOJ charged two former executives of a publicly traded transportation company with engaging in a multiyear accounting and securities fraud scheme.

On September 12, 2019, Deputy Assistant Attorney General Matthew Miner signaled that the Department of Justice may provide further guidance to prosecutors...

From time to time, companies may discover that they've violated export, economic sanctions, anti-corruption, or customs laws and must decide whether to self-disclose to the U.S. government agency that enforces the regulation in question.

On July 30, Judge Denise Cote granted the motion for partial summary judgment brought by FHFA, as conservator for Fannie Mae and Freddie Mac.

The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The

The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The

A former executive of a brokerage firm settled SEC charges for illicitly securing business deals with a Malaysian state-owned and controlled investment fund.