North America

Canada: Judicial Recognition Of Risk Assessment, R. v. Michaud

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The Ontario Court of Appeal has recently released its decision in R. v. Michaud, 2015 ONCA 585 . This decision is of importance as the Court's endorsement of the hybrid model of ex ante / ex post legislation has the effect of recognizing the role of risk assessment as a legal necessity.

To Find the Needle, Move the Haystack: Deciding Where Best to Conduct Document Review...

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U.S. enforcement authorities in FCPA matters place great emphasis on obtaining and analyzing relevant documents, data, and other reviewable information. For this reason, it is incumbent upon any company in a cooperative posture with the government to disclose as much relevant, non-privileged information as practicable.

U.S. Government Takes Additional Steps to Relax Comprehensive Embargo of Cuba

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The U.S. Treasury Department’s Office of Foreign Assets Control and the U.S. Commerce Department’s Bureau of Industry and Security announced amendments to the Cuban Assets Control Regulations and the Export Administration Regulations in a continuing effort to relax certain aspects of the U.S. embargo against Cuba.

Investment Adviser Sanctioned By SEC for Failing to Implement Effective Cybersecurity Policies

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The SEC's ongoing battle against cybersecurity issues continued this week. On September 22, 2015, the SEC sanctioned registered investment adviser R.T. Jones Capital Equities Management, Inc. for failing to adopt written policies and procedures reasonably designed to safeguard consumer information in violation of the SEC's Safeguards Rule (Rule 30(a) of Regulation S-P).

Recent U.S. Department of Justice Memorandum, “Individual Accountability for Corporate Wrongdoing,” Targeting Individuals May...

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Deputy U.S. Attorney General Sally Quillian Yates issued a memorandum to all attorneys of the United States Department of Justice entitled “Individual Accountability for Corporate Wrongdoing”. How does it affect your business?

Why DOJ Struggles To Convict Individuals In FCPA Cases

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Holding company employees criminally responsible for corporate misconduct is easier said than done. We analyze why the Justice Department, which routinely concludes multimillion-dollar criminal settlements with the world’s largest corporations, struggles to convict individuals associated with the alleged misconduct?

DOJ and SEC: What they are saying, what they are doing, and where they...

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With new leadership at DOJ, it is extremely important for companies to know what to expect in terms of FCPA enforcement. Leaders at DOJ and SEC have recently said that they intend to focus more on individual prosecutions and to cooperate more with foreign authorities. But they have also given indications that they understand the need for companies to limit the scope of investigations.

U.S. Court of Appeals Affirms Prior Ruling On SEC Conflict Minerals Rule

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The U.S. Court of Appeals for the District of Columbia Circuit affirmed its April 14, 2014 decision in National Association of Manufacturers v. SEC upholding in part and invalidating in part the SEC’s conflict minerals disclosure rule.

Psychology and Decision Making in Litigation and Dealing with Authorities – Munich – September...

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Did you ever wonder why your company lost a lawsuit although the merits of the case were on your side? Did you ever ask...

Canada: The Constitutionality of Administrative Monetary Penalties: Defining the punitive paradigm

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The Supreme Court of Canada released its anticipated decision in Guindon v. Canada on July 31, 2015, which held that administrative monetary penalties ("AMPs")...
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