Corporate & Securities Law Community

Title	Views
1	Dodd-Frank Law Sets New Rules for Compensation Consultants, Counsel and Other Advisers	10730
2	How Far Can the Plaintiffs Really Go With the Cases Against U.S.-Listed Chinese Companies?	9465
3	D & J Tire Inc. v. Hercules Tire & Rubber Co, 2010 U.S. App. LEXIS 4156 (5th Cir. February 26, 2010)	6355

Title	Downl.
1	The Dodd-Frank Act, Commentary and Insights by Skadden, Arps, Slate, Meagher & Flom LLP & Associates--Chapter1: Orderly Liquidation Authority	24
2	The Dodd-Frank Act, Commentary and Insights by Skadden, Arps, Slate, Meagher & Flom LLP & Associates--Chapter1: Orderly Liquidation Authority	9

This Week in Securities Litigation (April 15 , 2011)

The market crisis, the FCPA and insider trading were again the key focus this week. On Capitol Hill the Senate Permanent Committee on Investigations issued a lengthy, detailed report regarding the causes of the market crisis. This report builds on earlier...

Published Fri, Apr 15 2011 5:59 PM by Thomas O. Gorman

Filed under: FCPA, insider trading, SEC enforcement, market manipulation, financial market reform, investment fraud

This Week in Securities Litigation (March 25, 2011)

The Galleon insider trading trial continues this week in New York. In another New York court room the Commission struggled to have a partial settlement approved by the court. While the agency secured the necessary approval it was not without a cost: The...

Published Fri, Mar 25 2011 6:19 PM by Thomas O. Gorman

Filed under: FCPA, insider trading, FINRA, SEC enforcement, investment fund fraud, criminal prosecution, financial market reform

“Instrumentality Thereof” under the FCPA: An Absurd Result?

The prognosticators have now spoken (yet again) and decreed that the Houston Astros will be this year's worst team in baseball. We are well into the first week of Spring Training and the Houston Chronicle has reported that Baseball Prospectus has...

Published Fri, Feb 25 2011 9:55 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA, FCPA Enforcement

Disclosure and Negotiating with the Government – A FCPA Conundrum?-Part II

In yesterday's blog we explored the question of whether a company should self-report a potential FCPA violation to the pertinent US governmental authorities. Today, conclude our two-part series by exploring three issues: (1) What should you disclose;...

Published Wed, Feb 9 2011 10:38 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA, self-reporting

Agent Liability under the FCPA: Freight Forwarders and Express Delivery Services

I. The Problem The Foreign Corrupt Practices Act (FCPA) world is littered with cases involving freight forwarders, brokers and agents in the shipping and express delivery arena. Both the Department of Justice (DOJ) and Securities and Exchange Commission...

Published Fri, Feb 4 2011 9:32 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA, agents

Welcome to the FCPA: Chinese Companies and Reverse Mergers

In a Wall Street Journal article on January 27, 2011 entitled " What's Behind China's Reverse IPOs ?", reporter Joseph Sternberg wrote that several Chinese companies were under investigation by the Securities and Exchange Commission...

Published Wed, Feb 2 2011 9:55 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA, China, FCPA compliance, reverse IPO

Internal Controls Under the FCPA

Most Foreign Corrupt Practices Act (FCPA) practitioners understand the requirement for a compliance policy under the FCPA. However many practitioners, particularly lawyers practicing in the compliance field, do not understand the requirement for proper...

Published Mon, Jan 31 2011 11:16 AM by Thomas Fox

Filed under: FCPA, compliance and ethics programs, internal controls

Evaluation of FCPA Compliance Training

One of the key goals of any Foreign Corrupt Practices Act (FCPA) compliance program is to train company employees in awareness and understanding of the FCPA; your specific company compliance program; and to create and foster a culture of compliance. The...

Published Mon, Jan 24 2011 10:08 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA, compliance programs, compliance training, Federal Sentencing Guidelines

Sovereign Wealth Funds, Bribery, Corruption, Hospitality and the FCPA

The FCPA seems to be most closely associated with shady oil operations, mining, defense contractors and infrastructure transactions. The image is a big company coming in and bribing an official for access to the country's resources. The other side...

Published Tue, Jan 18 2011 12:38 PM by Doug Cornelius

Filed under: FCPA, SEC enforcement, financial institutions

The FCPA, Financial Institutions and a Rude Awakening

As reported in today's FCPA Blog , the Wall Street Journal (WSJ) reported that the Securities and Exchange Commission (SEC) is investigating "whether bank and private equity firms violated the [FCPA] in their dealings with sovereign wealth funds...

Published Tue, Jan 18 2011 11:38 AM by Thomas Fox

Filed under: FCPA, financial institutions

More Than Just the FCPA and Bribery Act – The Local Battle Against Corruption

Many Foreign Corrupt Practices Act (FPCA) and UK Bribery Act practitioners are well aware of the oratory of the US and UK governments on the evils of bribery and corruption. However, such a fight is not just being made by the US Department of Justice...

Published Thu, Jan 6 2011 11:05 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA, Bribery Act, India

Franchising and the FCPA

The Foreign Corrupt Practices Act (FCPA) applies to all US companies and individuals which conduct business overseas. FPCA practitioners recognize there are two components: (1) the anti-bribery component, handled by the Department of Justice (DOJ) and...

Published Wed, Jan 5 2011 11:59 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA, franchising

Questions, Questions and More Questions: Foreign Courts and the FCPA

Inspired by our colleague, the FCPA Professor , this post will pose several questions regarding the Foreign Corrupt Practices Act (FCPA) in connection with one of the most Byzantine litigation matters of current renown, that being Chevron's legal...

Published Tue, Jan 4 2011 9:38 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA, foreign courts

Private Equity and the FCPA

In a Wall Street Journal (WSJ) article on December 22, 2010 by Joe Palazzolo, he reported that the Securities and Exchange Commission (SEC) is investigating Europe's largest insurer, Allianz SE, for possible bribery by a German printing press company...

Published Mon, Jan 3 2011 11:16 AM by Thomas Fox

Filed under: Foreign Corrupt Practices Act, FCPA, private equity funds

The Fraud Guy and Corporate Monitors under the FCPA

Most compliance practitioners are aware of the use of corporate monitors. There are many benefits to the use of a corporate monitor for a company coming out of a lengthy Foreign Corrupt Practices Act (FCPA) investigation. Some of these benefits can include...

Published Tue, Dec 21 2010 1:03 PM by Thomas Fox

Filed under: FCPA, Corporate Monitors