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White Collar Crime 2020: Prosecutors and Regulators Speak

Chair(s): Martine M. Beamon, James J. Benjamin

Practice Area: Corporate law, Corporate litigation, Criminal litigation, Litigation, White collar crime

Published: Sep 2020 i Other versions can be found in the Related Items tab.
ISBN: 9781402437144
PLI Item #: 276316
CHB Spine #: H1186

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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Certiorari to the United States Court of Appeals for the Ninth Circuit, LIU v. S.E.C., No. 18-1501 (U.S. 2020)
Chapter 2. Complaint, S.E.C. v. Applied Biosciences Corp., No. 20 Civ. 3729 (S.D.N.Y. 2020)
Chapter 3. United States Department of Justice, Office of the Deputy Attorney General, Memorandum for All Heads of Law Enforcement Components, Heads of Litigating Divisions, and United States Attorneys, Re: Department of Justice Enforcement Actions Related to COVID-19 (March 24, 2020)
Chapter 4. Sealed Complaint, United States v. MUGE, MA, No. 20 MAG 5202 (S.D.N.Y. 2020)
Chapter 5. United States Department of Justice, Criminal Division, Evaluation of Corporate Compliance Programs (Updated June 2020)
Chapter 6. Complaint, S.E.C. v. Ghosn, No. 1:19-CV-08798 (S.D.N.Y. 2019)
Chapter 7. U.S. Securities and Exchange Commission, Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-And-Desist Order, In re: Nissan Motor Co., Exchange Release No. 87054; AAER No. 4086; Admin. Proc. File No. 3-19492 (September 23, 2019)
Chapter 8. U.S. Securities and Exchange Commission, Press Release, SEC Charges Nissan, Former CEO, and Former Director with Fraudulently Concealing from Investors More than $140 Million of Compensation and Retirement Benefits (September 23, 2019)
Chapter 9. U.S. Securities and Exchange Commission, Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order, In Re: FCA US LLC, Release No. 10706; Exchange Release No. 87134; AAER No. 4095; Admin. Proc. File No. 3-19541 (September 27, 2019)
Chapter 10. U.S. Securities and Exchange Commission, Press Release, Automaker to Pay $40 Million for Misleading Investors (September 27, 2019)
Chapter 11. Complaint, S.E.C. v. Mylan N.V., No. 1:19-CV-2904 (D.D.C. 2019)
Chapter 12. U.S. Securities and Exchange Commission, Press Release, Mylan to Pay $30 Million for Disclosure and Accounting Failure Relating to EpiPen (September 27, 2019)
Chapter 13. Davis Polk & Wardwell LLP, Client Memorandum, House Passes 8-K Trading Gap Act (January 21, 2020)
Chapter 14. Davis Polk & Wardwell LLP, Client Memorandum, SEC Describes Active Enforcement Program and Focus on Corporate Conduct in 2019 Annual Report (November 14, 2019)
Chapter 15. Opinion and Order, S.E.C. v. Telegram Group Inc., No. 19-cv-9439 (PKC) (S.D.N.Y. 2020)
Chapter 16. U.S. Securities and Exchange Commission, Public Statement from Stephanie Avakian and Steven Peikin, Co-Directors of the SEC’s Division of Enforcement, Regarding Market Integrity (March 23, 2020)
Chapter 17. U.S. Securities and Exchange Commission, Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, In re: Ares Management LLC, Investment Advisers Release No. 5510, Admin. Proc. File No. 3-19812 (May 26, 2020)
Chapter 18. U.S. Securities and Exchange Commission, Press Release, Private Equity Firm Ares Management LLC Charged with Compliance Failures (May 26, 2020)
Chapter 19. Davis Polk & Wardwell LLP, Client Memorandum, Supreme Court Preserves SEC’s Disgorgement Authority, but with Limits (June 23, 2020)
Chapter 20. Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order, In re: Novartis AG, Exchange Release No. 89149; AAER No. 4150; Admin. Proc. File No. 3-19835 (June 25, 2020)
Chapter 21. U.S. Securities and Exchange Commission, Press Release, SEC Charges Novartis AG with FCPA Violations (June 25, 2020)
Chapter 22. U.S. Securities and Exchange Commission, Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, In re: VALIC Financial Advisors, Inc., Exchange Release No. 89407; Investment Advisers Release No. 5551; Admin. Proc. File No. 3-19895 (July 28, 2020)
Chapter 23. U.S. Securities and Exchange Commission, Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) of the Securities Exchange Act of 1934 and 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, in re: VALIC Financial Advisors, Inc., Exchange Release No. 89405; Investment Advisers Release No. 5550; Admin. Proc. File No. 3-19894 (July 28, 2020)
Chapter 24. U.S. Securities and Exchange Commission, Press Release, SEC Charges VALIC Financial Advisors with Failing to Disclose Payments to Promote Services to Florida Educators (July 28, 2020)
Chapter 25. Preet Bharara, et al., Report of the Bharara Task Force on Insider Trading (January 2020)
Chapter 26. Aisling O’Shea and Nicholas Brechbill, Key Developments in 2019 Anti-Corruption Enforcement, Law360 (December 17, 2019)
Chapter 27. Sullivan & Cromwell LLP, United States v. Hoskins—District Court Rejects DOJ’s Attempt to Expand Extraterritorial Reach of FCPA through Agency Liability (February 28, 2020)
Chapter 28. Sullivan & Cromwell LLP, DOJ Updates Guidance on the Evaluation of Corporate Compliance Programs (June 3, 2020)
Chapter 29. Sullivan & Cromwell LLP, Liu v. SEC—Supreme Court Upholds (but Limits) SEC’s Authority to Seek Disgorgement in Civil Enforcement Actions (June 23, 2020)
Chapter 30. Kara Brockmeyer, Andrew M. Levine and Philip Rohlik, Debevoise & Plimpton LLP, Tips for Handing Internal and Government Investigations When Everyone Is Working Remotely, FCPA Update, Vol. 11, No. 9 (April 2020)
Chapter 31. United States v. Hoskins, 902 F.3d 69, No. 16-1010-cr (2d Cir. 2018)
Chapter 32. United States v. Hoskins, 2020 WL 914302, No. 3:12cr238 (JBA) (D. Conn. Feb. 26, 2020)
Chapter 33. Opening Statements, United States v. Flotron, No. 3:17CR220 (JAM) (D. Conn. 2018)
Chapter 34. Closing Statements, United States v. Flotron, No. 3:17CR220 (JAM) (D. Conn. 2018)
Chapter 35. United States Department of Justice, Office of Public Affairs, Press Release, Justice Department Files Its First Enforcement Action Against COVID-19 Fraud (March 22, 2020)
Chapter 36. James P. Dowden, et al., Ropes & Gray LLP, Ropes & Gray and Forensic Risk Alliance Alert—COVID-19, Data Analytics and the FCA: Big Response, Big Data, Big Risk (May 8, 2020)
Chapter 37. Steven Peikin, Co-Director, Division of Enforcement, United States Securities and Exchange Commission, Speech, Keynote Address: Securities Enforcement Forum West 2020 (May 12, 2020)
Chapter 38. Ropes & Gray LLP, Summary and Takeaways from Webinar on Enforcement and Compliance During COVID-19 (May 19, 2020)
Chapter 39. Ropes & Gray LLP, Coronavirus Information & Updates, COVID-19: Anti-Corruption in Brazil: A Conversation with Officials from the Federal Prosecution Service and the Brazilian Office of the Comptroller General (June 16, 2020)
Index

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