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10 results on '"Barr, Jonathan"'

1. Disclosing Cryptocurrency Risks: SEC Comment Letter Puts Companies On Notice

Author

Barr, Jonathan

Subjects
Financial disclosure -- Laws, regulations and rules, Crypto-currencies -- Laws, regulations and rules, Securities law -- Evaluation, Government regulation, Business, international, Securities Act of 1933
Abstract

The U.S. Securities and Exchange Commission (SEC) Division of Corporation Finance (CorpFin) recently issued guidance (Guidance), including a 'Dear Issuer' Sample Letter (Sample Letter) to assist companies in meeting their [...]

Published
2022

2. Deputy AG Lisa Monaco Announces Tough-on-Corporate-Crime Updates To DOJ Policies

Author

Barr, Jonathan

Subjects
United States. Department of Justice -- Powers and duties, Attorneys general -- Powers and duties, Disclosure of information -- Laws, regulations and rules, Corporations -- Ethical aspects, Government regulation, Business, international
Abstract

Key Takeaways Deputy Attorney General (Deputy AG) Lisa Monaco signaled that the Department of Justice (DOJ or Department) will take a more aggressive approach to corporate criminal enforcement, including an [...]

Published
2022

3. SEC Brings Flurry Of Insider Trading Cases Using Market Analytics

Author

Barr, Jonathan

Subjects
United States. Securities and Exchange Commission -- Powers and duties, Data mining -- Usage, Insider trading in securities -- Cases, Company legal issue, Data warehousing/data mining, Business, international
Abstract

Overview On July 25, 2022, the Securities and Exchange Commission (SEC or the Commission) made headlines announcing insider trading charges against 10 individuals across four separate cases, signaling an increased [...]

Published
2022

4. New SEC Enforcement Initiative Encourages Advisers To Self-Report Mutual Fund Share Class Violations

Author

Barr, Jonathan

Subjects
Brokers -- Laws, regulations and rules, Financial disclosure -- Laws, regulations and rules, Mutual funds -- Laws, regulations and rules, Conflicts of interest -- Laws, regulations and rules, Government regulation, Business, international
Abstract

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.1 Share class [...]

Published
2018

5. DOJ Announces Revised Fcpa Corporate Enforcement Policy

Author

Barr, Jonathan

Subjects
Disclosure of information -- Laws, regulations and rules, Corporate corruption -- Laws, regulations and rules, Business enterprises -- Laws, regulations and rules, Government regulation, Business, international, Foreign Corrupt Practices Act of 1977
Abstract

On November 29, 2017, Deputy Attorney General Rod Rosenstein expanded upon the Department of Justice's ('DOJ') long-running efforts to encourage companies to self-disclose Foreign Corrupt Practices Act ('FCPA') violations by [...]

Published
2017

6. Foreign Corrupt Practices Act 2016 Year-End Update

Author

Barr, Jonathan

Subjects
United States. Securities and Exchange Commission -- Powers and duties, United States. Department of Justice -- Powers and duties, Business enterprises -- Laws, regulations and rules -- Management, Government regulation, Company business management, Business, international, Foreign Corrupt Practices Act of 1977
Abstract

2016 was a record-setting year for Foreign Corrupt Practices Act ('FCPA') enforcement, as both the U.S. Department of Justice ('DOJ') and the U.S. Securities and Exchange Commission ('SEC') recovered well [...]

Published
2017

7. FCPA Chief Touts Record High Enforcement Actions - Links Avoiding A Monitor To Early Remediation Of FCPA Issues

Author

Barr, Jonathan

Subjects
United States. Securities and Exchange Commission -- Laws, regulations and rules -- Conferences, meetings and seminars, Whistleblowing -- Laws, regulations and rules, Investors -- Laws, regulations and rules, Government regulation, Business, international, Foreign Corrupt Practices Act of 1977
Abstract

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 [...]

Published
2016

8. No Room For Companies To Gamble As The Feds Double Down On FCPA Enforcement

Author

Barr, Jonathan

Subjects
ALSTOM S.A. -- Discipline -- Investigations, Criminals -- Discipline, Industrial equipment industry -- Discipline -- Investigations, Corruption -- Discipline -- Investigations, Company legal issue, Business, international, Foreign Corrupt Practices Act of 1977
Abstract

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 [...]

Published
2015

9. Foreign Corrupt Practices Act 2014 Mid-Year Update

Author

Barr, Jonathan

Subjects
United States. Securities and Exchange Commission -- Laws, regulations and rules, Global economy -- Laws, regulations and rules, International business enterprises -- Laws, regulations and rules, Government regulation, Business, international, Foreign Corrupt Practices Act of 1977
Abstract

The first half of 2014 has seen several important developments in the enforcement of the Foreign Corrupt Practices Act ('FCPA') as well as other anti-corruption laws worldwide. The FCPA has [...]

Published
2014

10. The FCPA On Steroids: Brazil Ups The Ante In Fighting Corporate Corruption

Author

Barr, Jonathan

Subjects
Bribery -- Laws, regulations and rules, Corporations -- Ethical aspects, Government regulation, Business, international, Foreign Corrupt Practices Act of 1977
Abstract

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 [...]

Published
2013

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