LexisNexis® Legal Newsroom
Kevin M. LaCroix
Does D&O Insurance Undermine the Deterrence Effect of Securities Litigation?

All too often, the securities class action litigation process seems like a complicated and costly mechanism for transferring large amounts of money to the lawyers involved but only small amounts to the aggrieved investors, all at the expense of the...

Doug Cornelius
Disciplinary Actions Against Chief Compliance Officers

The Chief Compliance Officer should be a model for employee conduct. I don't thing there is any better way to lead and educate than to set an example. Not all Chief Compliance Officers succeed in this role and some get subject to discipline...

Gary Larkin
Could SEC Whistleblower Bounty Program Harm Internal Compliance?

Although nearly everyone - including the five SEC commissioners - agrees that corporate whistleblowers are the best source for detecting corporate fraud, there is trepidation about the proposed whistleblower bounty program under the Dodd-Frank Act...

Thomas Fox
FCPA Settlement Day: DOJ Guidance on the Best Practices of a Corporate Compliance Program

In what the FCPA Blog termed a day of making history "for the most companies to simultaneously settle FCPA-related violations, [the] Global logistics firm Panalpina and five of its oil-and-gas services customers resolved charges with the DOJ and...

Sutherland Asbill & Brennan LLP
Secretary of the Treasury Seeks Input on Whether Foreign Exchange Swaps and Foreign Exchange Forwards Should Be Regulated as Swaps Under Dodd-Frank

by Sutherland's Derivatives and Structured Products Team Section 1a(47)(E) of the Commodity Exchange Act (CEA), as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), empowers the Secretary of the Treasury (Treasury...

Arina Shulga
Business Consultants and Finders: Are They Brokers?

This post is not written for the business owners, but rather for the consultants who connect companies that are looking to raise capital with potential investors, whether angels or VCs. I was recently reviewing the broker-dealer definitions in the...