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Searching Content indexed under Corporate/Commercial Law by Jonathan Barr ordered by Published Date Descending.
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DC Circuit Reverses SEC - Negligent Omissions And Willful Omissions Are Mutually Exclusive
On April 30, 2019, the U.S. Court of Appeals for the D.C. Circuit held that an investment adviser (IA) cannot willfully make a negligent disclosure in its Forms ADV.
United States
21 May 2019
2
DC Circuit Reverses SEC Finding That Negligent Omissions And Willful Omissions Are Mutually Exclusive
On April 30, 2019, the U.S. Court of Appeals for the D.C. Circuit held that an investment adviser (IA) cannot willfully make a negligent disclosure in its Forms ADV.
United States
17 May 2019
3
New SEC Enforcement Initiative Encourages Advisers To Self-Report Mutual Fund Share Class Violations
On February 12, 2018, the Division of Enforcement of the U.S. Securities and Exchange Commission ("SEC") announced a new initiative to encourage advisers to self-report share class violations.
United States
26 Feb 2018
4
Foreign Corrupt Practices Act 2016 Year-End Update
2016 was a record-setting year for Foreign Corrupt Practices Act ("FCPA") enforcement, as both the U.S. Department of Justice ("DOJ")...
United States
6 Feb 2017
5
FCPA Chief Touts Record High Enforcement Actions – Links Avoiding A Monitor To Early Remediation Of FCPA Issues
Appearing before the annual Securities Docket Conference in Washington, DC on October 13, Kara Novaco Brockmeyer, the Chief of the Securities and Exchange Commission's FCPA Unit, laid out the Commission's FCPA enforcement priorities, including insight on how to avoid an SEC-imposed monitor.
United States
25 Oct 2016
6
Foreign Corrupt Practices Act 2015 Year-End Update
Both the United States Department of Justice (DOJ) and the United States Securities and Exchange Commission (SEC) have continued their focus on anticorruption enforcement in 2015.
United States
25 Apr 2016
7
DOJ Attempts To Encourage Corporate Self-Disclosures With The Announcement Of A One-Year FCPA Pilot Program
The ultimate impact of the new policy, which is being previewed as a one-year "pilot," is unknown.
United States
20 Apr 2016
8
Clean Hands, Smart Deals: A Primer On Complying With Foreign Anti-Bribery Laws
BakerHostetler, in a showcase of our depth of experience, presented an informational seminar in June 2015 at the 51st Paris Air Show, the largest aerospace trade show in the world.
United States
20 Nov 2015
9
No Room For Companies To Gamble As The Feds Double Down On FCPA Enforcement
In 2014, a record-setting year for Foreign Corrupt Practices Act (FCPA) enforcement, the Department of Justice (DOJ) announced the largest-ever DOJ FCPA resolution—an over $772 million criminal fine for French power company Alstom S.A.
United States
18 Apr 2015
10
Foreign Corrupt Practices Act 2014 Year End Update
Over the course of 2014, the Department of Justice ("DOJ") and the Securities and Exchange Commission ("SEC") have continued their aggressive enforcement of the Foreign Corrupt Practices Act ("FCPA").
United States
5 Mar 2015
11
The FCPA On Steroids: Brazil Ups The Ante In Fighting Corporate Corruption
Recently, in the wake of massive protests throughout Brazil concerning corruption and other issues, Brazilian President Dilma Vana Rousseff dramatically increased anti-corruption prohibitions in Brazil by signing into law the Anti-Bribery Act or "Lei Anticorrupção."
United States
14 Aug 2013
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