9,615 results found

This article provides a general overview of insider trading laws, outlines key developments since early 2013, and highlights recent trends and open issues pending before the Supreme Court.

In this edition of the U.S. Regulatory Roundup, the Duff & Phelps Compliance and Regulatory Consulting practice outlines updates and enforcement and judicial actions from the SEC, FINRA, NFA and CFTC ...

A New Jersey-based commercial real estate broker agreed to pay $225,000 in disgorgement to settle SEC charges arising out of the attempted bribery of a foreign official.

Securities and Exchange Commission Chair Mary Jo White has called for the SEC to be more aggressive in its enforcement program.

The United States Attorney's Office for the Southern District of New York ("SDNY") indicted three foreign nationals on charges of insider trading, wire fraud and computer hacking.

In a recent Investor Bulletin, the SEC OIEA cautioned investors about "potential investment schemes in which fraudsters send fake Forms 4 to investors who paid for the purported purchase of shares."

The SEC charged two former traders for Nomura Securities International Inc. ("Nomura") with securities fraud.

The SEC charged an investment banker with fraud for "serial" trading based on confidential, non-public information.

My colleague, Heidi Lawson recently wrote a post on Securities Matters that analyzed the implications of the Justice department's newest initiative to prosecute executives for white collar crimes...

When Does a SEC Investigation Turn into a Federal Criminal Inquiry?

An anonymous compliance hotline within your investment adviser suddenly receives complaints about a market-beating portfolio manager.

According to Adam, partnerships enable agencies to use data analytics more effectively to find fraud.

Cadwalader London Associate Duncan Grieve is joined by Alexandre Aroeira Salles and Francisco De Melo Franco Ferreira of the Brazilian law firm Aroeira Salles Advogados to discuss the legacy of the Brazilian "Car Wash" investigation.

Should a financial institution be held fully responsible for unknowingly supporting terrorist financing when their compliance program is up to date?

On March 22, Jose Shiera Bastidas (Shiera), a Miamiarea businessman who owns multiple U.S. energy companies, pleaded guilty to one count of conspiracy to violate the FCPA and to commit wire fraud...

The article notes the increasing governmental regulations involved with cryptocurrency as well as specific examples of fraud or illegal actions related to cryptocurrency.

John Cronan was named the acting Assistant Attorney General for the DOJ Criminal Division. Mr. Cronan replaces Ken Blanco, who was recently named Director of the U.S. Treasury Department FinCEN.