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Searching Content indexed under Compliance by James Dowden ordered by Published Date Descending.
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New DOJ Guidance Reflects An Evolution In The Evaluation Of Corporate Compliance Programs
On April 30, 2019, the DOJ's Criminal Division published an updated Evaluation of Corporate Compliance Programs Guidance Document ("the Guidance") for prosecutors to use in evaluating corporate compliance programs.
United States
17 May 2019
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SEC Enters Into First Deferred Prosecution Agreement With An Individual
The U.S. Securities and Exchange Commission ("SEC" or "Commission") announced on Tuesday that it entered into its first Deferred Prosecution Agreement ("DPA" or "Agreement") with an individual in connection with a possible enforcement action.
United States
16 Nov 2013
3
Government Enforcement Attorneys Analyze Amendments To Insider Trading Sentencing Guidelines And Appropriate Compliance
Government enforcement partners Chris Conniff (New York) and Jim Dowden (Boston), and securities litigation associate Brendon Carrington have written "Insider Trading Sentences Get Extra Bite" for the May 7 issue of Compliance Reporter.
United States
4 Dec 2012
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