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Insider Trading Policies and Cybersecurity
Michael J. Rivera
&
Abby I. Yi
Cybersecurity has been a high priority topic for the SEC the past few years. In September 2017, the SEC created a Cyber Unit within its Enforcement Division. This Cyber Unit had over 225 active investigations at the SEC's 2018 fiscal year end. The SEC has focused in particular on cybersecurity risks facing public companies.
Columns & Departments
In the Courts
Juliet Gunev
Maryland's Largest Ever Ponzi-Scheme: Kevin Merrill Sentenced to 22 Years in Prison for $396 Million Consumer Debt Fraud
Columns & Departments
Business Crimes Hotline
Juliet Gunev
Former Keppel Lawyer Who Cooperated with U.S. Government Fined and Sentenced to Probation for His Role in Petrobras Bribery Scheme
Features
Can Video Game Companies Be Liable for Users' Money Laundering?
Frank Ready
Criminals are hoping to use video game platforms to score more than just points. By using ill-gotten gains to purchase in-game currency that can then be exchanged for real cash, bad actors have found a way to launder money that is difficult for both gaming providers and the authorities to track.
Features
It's Getting Chilly: Federal Courts Continue to Wrestle With Impact of Aggressive DOJ Public Corruption Cases
Joseph F. Savage Jr.
&
Christopher J.C. Herbert
In an environment of aggressive federal prosecution and regulation both businesses and public officials are challenged to identify the permissible line between proper financial transactions — things like campaign contributions and business entertainment — and unlawful payments. And, in what the First Circuit called a "novel theory of Hobbs Act extortion," public officials now have to struggle with the scope of permissible advocacy — when does advocacy for constituents become extortion?
Features
Supreme Court's October Term 2018 Contains Hints of Things to Come
Harry Sandick
&
Tara Norris
Part One of a Two-Part Article In its recently ended October Term 2018, the U.S. Supreme Court decided several notable criminal law decisions that will have a meaningful impact on white-collar practitioners' work and, importantly, offer clues regarding the movement of the criminal law in subsequent terms. In this two-part article, we review several of the key decisions and consider their implications, both for practitioners in this area and for Court-watchers interested in future Court decisions.
Features
SEC's Reboot on Waiver Requests in Enforcement Settlements
Robert J. Anello
&
Richard F. Albert
SEC Chairman Jay Clayton recently announced a change in how the SEC will consider requests for waivers of certain serious collateral consequences that would otherwise result from settlement of an SEC enforcement action. These collateral consequences, often referred to as "bad actor" or "bad boy" provisions, can vary greatly and may disqualify an entity from conducting certain business or utilizing certain means to offer securities.
Columns & Departments
Business Crimes Hotline
Juliet Gunev
Canadian Clean Fuel Technology Company and Former CEO Pay $4.1 Million to Settle China Related FCPA Case
Columns & Departments
In the Courts
Juliet Gunev
New York Brokerage and Two Executives Ordered to Pay $1.58 Million for Misleading Investors In High-Yield Securities Case
Features
Crowdfunding, Reg D and Reg A
Jacqueline C. Wolff
&
Brian S. Korn
The New Routes for Access to Capital and the Potential Legal and Regulatory Risks Although the business community lauded the arrival of new crowdfunding laws, the enforcement community has had a different take on them. As stated in 2017 by then Deputy Attorney General Rod Rosenstein: "The potential downside of crowdfunding is that it occurs outside the watchful eye of a regulated banking and financial industry. Unregulated websites therefore provide a platform for criminals to defraud potential investors."
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