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Enforcement 2013: Perspectives from Government Agencies
Richard D. Owens, Joan E. McKown, Linda Chatman Thomsen
Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. Recent Developments in SEC Enforcement
Chapter 2. SEC Whistleblower Program Handbook
Chapter 3. U.S. Securities and Exchange Commission, Annual Report on the Dodd-Frank Whistleblower Program, Fiscal Year 2012
Chapter 4. Annual Report on the Whistleblower Program and Customer Education Initiatives, U.S. Commodity Futures Trading Commission
Chapter 5. IRS Annual Whistleblower Report to Congress: Fiscal Year 2012 Report to the Congress on the Use of Section 7623
Chapter 6. The Limitations of Corporate Compliance, Establish an Ethical Culture in an Era of Scandal, New York Law Journal, Compliance, Monday, November 7, 2011
Chapter 7. SEC v. Sharef Et. Al., 11 Civ. 9073 (S.D.N.Y. Feb. 19, 2013), Opinion and Order
Chapter 8. SEC v. Straub Et. Al., 11 Civ. 9645 (S.D.N.Y. Feb. 8, 2013), Memorandum and Order
Chapter 9. Simpson Thacher Memorandum: Recent SDNY Opinions Provide Guidance for Foreign Nationals Charged with Violations of the FCPA (February 21, 2013)
Chapter 10. Compliant, SEC v. Certain Unknown Traders in the Securities of H.J. Heinz Company, 13 Civ. 1080 (S.D.N.Y. Feb. 15, 2013)
Chapter 11. Order Instituting Administrative Proceedings Pursuant to Rule 102(e)(1)(iii) of the Commission’s Rules of Practice and Notice of Hearing, in the Matter of BDO China Dahua CPA Co., Ltd. Et Al., Administrative Proceeding File No. 3-15116 (Dec. 3, 2012)
Chapter 12. What More Can be Done to Deter Violations of the Federal Securities Laws?, Texas Law Review, Vol. 90, pp. 1849–1889 (2012)
Chapter 13. Zealous Advocacy and Offending the SEC: the SEC’s Lawyer Discipline Program, Insights, Volume 26, Number 10, October 2012
Chapter 14. Recent Developments in the SEC Cooperation Initiative
Chapter 15. Cooperating and Getting a ‘Full Pass’ from the SEC: Is ‘Seaboard’ Still Alive?, BNA Corporate Accountability Report, 09 Care 911, 07/29/2011
Chapter 16. Selected SEC Enforcement Actions, Division of Enforcement, U.S. Securities and Exchange Commission, Washington, D.C., December 2012
Chapter 17. Selected Materials
All Contents Copyright © 1996-2020 Practising Law Institute.
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