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The Road to SEC Compliance
The Securities and Exchange Commission (SEC) recently issued new rules regulating the conduct of attorneys practicing before it. The SEC has also proposed a new rule ' open for a 60-day comment period ' that would create an 8-K public reporting requirement by the board of directors, to be triggered by a lawyer's mandatory withdrawal from the representation in the event of uncorrected client actions.
The American Corporate Counsel Association (ACCA) has posted an executive summary providing an overview of the rule and the alternative proposal at: www.acca.com/legres/corpresponsibility/307/summary.pdf. (The SEC's final and proposed rules can be found at www.sec.gov/rules/final/338185.htm and at www.sec.gov/rules/proposed/33-8186.htm.)
The DOJ's Corporate Enforcement Policy: One Year Later
The DOJ's Criminal Division issued three declinations since the issuance of the revised CEP a year ago. Review of these cases gives insight into DOJ's implementation of the new policy in practice.
The DOJ's New Parameters for Evaluating Corporate Compliance Programs
The parameters set forth in the DOJ's memorandum have implications not only for the government's evaluation of compliance programs in the context of criminal charging decisions, but also for how defense counsel structure their conference-room advocacy seeking declinations or lesser sanctions in both criminal and civil investigations.
Use of Deferred Prosecution Agreements In White Collar Investigations
This article discusses the practical and policy reasons for the use of DPAs and NPAs in white-collar criminal investigations, and considers the NDAA's new reporting provision and its relationship with other efforts to enhance transparency in DOJ decision-making.
A Lawyer's System for Active Reading
Active reading comprises many daily tasks lawyers engage in, including highlighting, annotating, note taking, comparing and searching texts. It demands more than flipping or turning pages.
Bankruptcy Sales: Finding a Diamond In the Rough
There is no efficient market for the sale of bankruptcy assets. Inefficient markets yield a transactional drag, potentially dampening the ability of debtors and trustees to maximize value for creditors. This article identifies ways in which investors may more easily discover bankruptcy asset sales.