Subject to Inquiry

Subject to Inquiry

THE LATEST ON GOVERNMENT INQUIRIES AND ENFORCEMENT ACTIONS

Government Investigations and White Collar Litigation Group

Tag Archives: DOJ

Enforcement and Prosecution Policy and Trends

Identifying and Resolving Fraud and Corruption Cases in the US and the UK: PART IV (Deferred and Non-Prosecution Agreements)

In order to entice corporates to voluntarily disclose instances of fraud and corruption, meaningfully cooperate with government investigations, and/or undertake remedial measures, the US Department of Justice and Securities and Exchange Commission will, in appropriate circumstances, enter into Deferred Prosecution Agreements (DPAs) and Non-Prosecution Agreements (NPAs) with corporations.… Continue Reading
Anti-Bribery and Corruption, Compliance, Enforcement and Prosecution Policy and Trends

Identifying and Resolving Fraud and Corruption Cases in the US and the UK: PART III (Rewards for Whistleblowers)

In our last blog, we addressed the importance - and benefits - of voluntarily disclosing instances of fraud or corruption to appropriate US and/or UK regulators. Of course, corporates do not always have the opportunity to identify and voluntarily disclose instances of fraud or corruption before an enterprising insider blows the whistle on some potential violation.… Continue Reading
Anti-Bribery and Corruption, Compliance, Enforcement and Prosecution Policy and Trends

Identifying and Resolving Fraud and Corruption Cases in the US and the UK: PART II (Self Reporting )

The SEC and DOJ have long encouraged corporates to voluntarily disclose possible violations of the law. And both the SEC and DOJ offer lesser sanctions - even amnesty in certain cases - for corporates that timely self report suspected violations. Both the DOJ and the SEC stress that the key to receiving credit for self reporting is promptness. Corporates are expected to timely report potential violations identified through internal reporting or compliance programs or an internal investigation.… Continue Reading
Enforcement and Prosecution Policy and Trends

Identifying and Resolving Fraud and Corruption Cases in the US and the UK: PART I

To say regulators in the US and UK have traditionally used different tools to ferret out and punish fraud and corruption is a considerable understatement. As compared with the Serious Fraud Office (SFO) and the Ministry of Justice (MOJ), the United States Securities and Exchange Commission (SEC) and their counterparts at the Department of Justice (DOJ) take a more active approach to identifying and prosecuting - and in appropriate cases, settling - fraud and corruption cases.… Continue Reading

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