Subject to Inquiry

Subject to Inquiry

THE LATEST ON GOVERNMENT INQUIRIES AND ENFORCEMENT ACTIONS

Government Investigations and White Collar Litigation Group

Tag Archives: SEC

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
Anti-Bribery and Corruption, Enforcement and Prosecution Policy and Trends

SEC Enters into its First-Ever Deferred Prosecution Agreement

On May 17, 2011, the SEC announced that it has entered into its first-ever Deferred Prosecution Agreement ("DPA"). The agreement brings to light a significant resolution option that may be on the table for companies that discover potential violations of federal securities laws during internal investigations or are already the subject of an SEC investigation or enforcement action.… Continue Reading

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