Course Handbook  Course Handbook

White Collar Crime 2018: Prosecutors and Regulators Speak

Publication Date: October 2018 Number of Volumes: 1
ISBN Number: 9781402432323 Page Count: 862 pages

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Table of Contents
Chapter 1: The Psychology of White-Collar Crime, and Why It Matters, New York Law Journal (January 9, 2018) Nicolas Bourtin ~ Sullivan & Cromwell LLP
Chapter 2: Sullivan & Cromwell LLP, DOJ Announces New Policy to Encourage Coordination Among DOJ and Agencies Imposing Penalties for the Same Conduct (May 10, 2018) Nicolas Bourtin ~ Sullivan & Cromwell LLP
Chapter 3: Sullivan & Cromwell LLP, Lucia v. SEC: U.S. Supreme Court Holds That SEC Administrative Law Judges Are “Officers” of the United States (June 22, 2018) Nicolas Bourtin ~ Sullivan & Cromwell LLP
Chapter 4: Gayle E. Littleton, David Bitkower, Coral A. Negron and Molly J. Davis, Jenner & Block LLP, Investigations, Compliance and Defense, Panasonic and Subsidiary Panasonic Avionics Corporation Pay Over $280 Million in Penalties and Disgorgement to Resolve Foreign Corrupt Practices Act and Accounting Fraud Violations (May 14, 2018) Katya Jestin ~ Jenner & Block LLP
Chapter 5: Katya Jestin, Reid J. Schar, Wade A. Thomson, Sarah F. Weiss and Emily K. McWilliams, Jenner & Block LLP, Investigations, Compliance and Defense, Update: Sports Betting and AML Compliance (May 17, 2018) Katya Jestin ~ Jenner & Block LLP
Chapter 6: United States v. Allen, No. 16-898 (2d Cir. 2017)
Chapter 7: James McDonald, Director, U.S. Commodity Futures Trading Commission, Statement (January 29, 2018)
Chapter 8: Rod Rosenstein, U.S. Deputy Attorney General, Office of the Attorney General, U.S. Department of Justice, Speech, Remarks as Prepared for Delivery Before the New York City Bar White Collar Crime Institute (May 9, 2018)
Chapter 9: Memo from Rod J. Rosenstein, U.S. Deputy Attorney General, Office of the Attorney General, U.S. Department of Justice, to Heads of Department Components, United States Attorneys, Re: Policy on Coordination of Corporate Resolution Penalties (May 9, 2018)
Chapter 10: Offices of the United States Attorneys, United States Department of Justice, 9-28.000— Principles of Federal Prosecution of Business Organizations (November 2015)
Chapter 11: Offices of the United States Attorneys, United States Department of Justice, 1-12.000— Coordination of Parallel Criminal, Civil, Regulatory, and Administrative Proceedings (May 2018)
Chapter 12: Gayle E. Littleton, David Bitkower and Justin C. Steffen, FinTech Weekly, Navigating Cryptocurrency Regulation: Common Sense in an Uncommon Industry (January 15, 2018) Katya Jestin ~ Jenner & Block LLP
Chapter 13: Kelly Hagedorn, Tracey Lattimer, Emily A. Bruemmer and Jennifer J. Yun, Jenner & Block LLP, Investigations, Compliance and Defense, Deliberate Data Breaches: Consequences for Companies Just Got Even Tougher (February 5, 2018) Katya Jestin ~ Jenner & Block LLP
Chapter 14: Nicholas R. Barnaby, Katya Jestin, Anne Cortina Perry and Ravi Ramanathan, Jenner & Block LLP, Investigations, Compliance and Defense, DOJ Announces New Policy to Avoid “Piling On” of Duplicative Corporate Penalties (May 5, 2018) Katya Jestin ~ Jenner & Block LLP
Chapter 15: Salman v. United States, 137 S.Ct. 420 (U.S. 2016)
Chapter 16: United States v. Martoma, 894 F.3d 64 (2d Cir. 2017)
Chapter 17: U.S. Securities and Exchange Commission, Investor.gov, Investor Bulletin: Initial Coin Offerings (July 25, 2017)
Chapter 18: SEC Chairman Jay Clayton, U.S. Securities and Exchange Commission, Statement on Cryptocurrencies and Initial Coin Offerings (December 11, 2017)
Chapter 19: United States v. Litvak, 889 F.3d 56 (2d Cir. 2018)
Chapter 20: U.S. Commodity Futures Trading Commission, Office of Public Affairs, CFTC Backgrounder on Oversight of and Approach to Virtual Currency Futures Markets (January 4, 2018)
Chapter 21: U.S. Department of Justice, Criminal Division, John P. Cronan, Acting Assistant Attorney General, U.S. Department of Justice, Criminal Division, Announces Futures Markets Spoofing Takedown (January 29, 2018)
Chapter 22: Order Instituting Proceedings Pursuant to Section 6(c) and (d) of the Commodity Exchange Act, Making Findings and Imposing Remedial Sanctions, In re: Deutsche Bank AG and Deutsche Bank Securities Inc., CFTC Dkt. No. 18-06 (Jan. 29, 2018)
Chapter 23: Order Instituting Proceedings Pursuant to Section 6(c) and (d) of the Commodity Exchange Act, Making Findings and Imposing Remedial Sanctions, In re: UBS AG, CFTC Dkt. No. 18-07 (Jan. 29, 2018)
Chapter 24: Order Instituting Proceedings Pursuant to Section 6(c) and (d) of the Commodity Exchange Act, Making Findings, and Imposing Remedial Sanctions, In re: HSBC Securities (USA) Inc., CFTC Dkt. No. 18-08 (Jan. 29, 2018)
Chapter 25: U.S. Commodity Futures Trading Commission, Press Release, CFTC Orders Deutsche Bank to Pay $30 Million Penalty for Manipulation, Attempted Manipulation, and Spoofing in the Precious Metals Futures Markets (January 29, 2018)
Chapter 26: U.S. Commodity Futures Trading Commission, Press Release, CFTC Orders UBS to Pay $15 Million Penalty for Attempted Manipulation and Spoofing in the Precious Metals Futures Markets (January 29, 2018)
Chapter 27: Chairman Jay Clayton, U.S. Securities and Exchange Commission, Chairman’s Testimony on Virtual Currencies: The Roles of the SEC and CFTC Before the Committee on Banking, Housing, and Urban Affairs, United States Senate, Washington, D.C. (February 6, 2018)
Chapter 28: U.S. Securities and Exchange Commission, Divisions of Enforcement and Trading and Markets, Public Statement on Potentially Unlawful Online Platforms for Trading Digital Assets (March 7, 2018)
Chapter 29: U.S. Commodity Futures Trading Commission, Press Release, CFTC Staff Issues Advisory for Virtual Currency Products (May 21, 2018)
Chapter 30: U.S. Commodity Futures Trading Commission, CFTC Staff Advisory No. 18-14, Advisory with Respect to Virtual Currency Derivative Product Listings (May 21, 2018)
Chapter 31: Memorandum & Order, CFTC v. McDonnell, No. 18-CV-0361 (E.D.N.Y. Mar. 6, 2018)
Chapter 32: Complaint and Affidavit in Support of Application for Arrest Warrants, 18 U.S.C. § 1349, United States v. Johnson, No. CR 16-0457 (E.D.N.Y. July 19, 2016)
Chapter 33: Indictment, United States v. Johnson, No. CR 16-0457 (E.D.N.Y. Aug. 16, 2016)
Chapter 34: Judgment in a Criminal Case, United States v. Johnson, No. CR 16-0457 (E.D.N.Y. May 10, 2018)
Chapter 35: Court of Appeals Order, United States v. Johnson, No. CR 16-0457 (2d Cir. June 20, 2018)
Chapter 36: Affidavit in Support of A Criminal Complaint and Arrest Warrant for Andre Flotron, No. 3:17-cr-00220-JAM (D. Conn. Sept. 12, 2017)
Chapter 37: Jury Trial Demanded, CFTC v. Flotron, No. 3:18-cr-00158 (D. Conn. Jan. 26, 2018)
Chapter 38: Superseding Indictment, United States v. Flotron, No. 3:17-cr-00220-JAM (D. Conn. Sept. 12, 2017)
Chapter 39: Judgment of Acquittal, United States v. Flotron, No. 3:17-cr-00220-JAM (D. Conn. Apr. 25, 2018)
Chapter 40: Akin, Gump, Strauss, Hauer & Feld LLP, Litigation Alert, Justice Department Issues New Policy Prioritizing Prosecution of Individuals in Corporate Cases (September 17, 2015) Parvin Daphne Moyne ~ Akin Gump Strauss Hauer & Feld LLP
Chapter 41: Akin, Gump, Strauss, Hauer & Feld LLP, Litigation Alert, Justice Department Updates United States Attorneys’ Manual to Emphasize Priority on Prosecuting Individuals in Corporate Cases (November 19, 2015) Parvin Daphne Moyne ~ Akin Gump Strauss Hauer & Feld LLP
Chapter 42: United States v. Wells Fargo Bank, 132 F.Supp. 3d 558, No. 12-CV-7527 (JMF) (S.D.N.Y. 2015)
Chapter 43: United States v. Nesbeth, 188 F.Supp.3d 179, No. 15-CR-18-FB (E.D.N.Y. 2016)
Chapter 44: Jeff Sessions, U.S. Attorney General, Office of the Attorney General, U.S. Department of Justice, Speech, Remarks Before the Ethics and Compliance Initiative Annual Conference, Washington, D.C. (April 24, 2017)
Chapter 45: Rod J. Rosenstein, U.S. Deputy Attorney General, Office of the Attorney General, U.S. Department of Justice, Keynote Address, Remarks Before the NYU Program on Corporate Compliance & Enforcement (October 6, 2017)
Chapter 46: Keith Krakaur and Ryan Junck, Skadden, Arps, Slate, Meagher & Flom LLP, USA, The International Comparative Legal Guide to: Business Crime 2019
Chapter 47: Victoria C. Fitzpatrick and Kelly Hagedorn, Jenner & Block London LLP, Investigations, Compliance and Defense, UK’s First Contested Failure to Prevent Bribery Conviction—A Clue as to What Does Not Constitute “Adequate Procedures” (March 12, 2018) Katya Jestin ~ Jenner & Block LLP
Chapter 48: David Bitkower and Natalie K. Orpett, Jenner & Block LLP, Data Privacy and Cybersecurity, Congress Passes CLOUD Act Governing Cross-Border Law Enforcement Access to Data (March 23, 2018) Katya Jestin ~ Jenner & Block LLP
Chapter 49: Victoria C. Fitzpatrick, Jenner & Block LLP, Investigations, Compliance and Defense, UK Serious Fraud Office Told Not to Take “No” for an Answer When Attempting to Obtain First Account Interview Notes to Ensure Fair Trial for Individuals (April 30, 2018) Katya Jestin ~ Jenner & Block LLP
Chapter 50: Davis Polk & Wardwell LLP, Client Memorandum, Latest U.S. Sanctions Developments Show Focus on Mainland China and Hong Kong (February 23, 2018) Angela T. Burgess ~ Davis Polk & Wardwell
Chapter 51: Davis Polk & Wardwell LLP, 2017 DOJ and SEC FCPA Resolution Tracker (April 2018) Angela T. Burgess ~ Davis Polk & Wardwell
Chapter 52: Davis Polk & Wardwell LLP, Client Memorandum, Deputy Attorney General Rosenstein Announces New Policy to Avoid “Piling On” in Corporate Enforcement Actions (May 11, 2018) Angela T. Burgess ~ Davis Polk & Wardwell
Chapter 53: Avi Gesser, Carolin L. Raspe and Mengyi Xu, Davis Polk & Wardwell LLP, Cyber Breach Center, GDPR Is Almost Here, Making Breach Notification Even More Complicated (May 16, 2018) Angela T. Burgess ~ Davis Polk & Wardwell
Chapter 54: Avi Gesser, Davis Polk & Wardwell LLP, Cyber Breach Center, Getting Rid of Old Data Is Becoming a Regulatory Requirement (June 27, 2018) Angela T. Burgess ~ Davis Polk & Wardwell
Chapter 55: Avi Gesser, Shahira D. Ali, Carolin L. Raspe and Christine LiCalzi, Davis Polk & Wardwell LLP, Cyber Breach Center, Private Actions Under the GDPR—One More Privacy Concern for U.S. Companies to Worry About? (July 2, 2018) Angela T. Burgess ~ Davis Polk & Wardwell
Chapter 56: 2018 Mid-Year Review: Anti-Corruption Enforcement and Trends (July 19, 2018) (PowerPoint slides) Angela T. Burgess ~ Davis Polk & Wardwell
Chapter 57: The Opening Statement: Taking Control of the Narrative, American Bar Association, The Journal of the Section of Litigation, Vol. 40, No. 4 (Summer 2014) Susan E. Brune ~ Brune Law P.C.
Chapter 58: Memorandum of Law in Support of Defendant Theodore Huber’s Pretrial Motion to Dismiss the Indictment, United States v. Blaszczak, No. 17 Cr. 357 (LAK) (S.D.N.Y. Oct. 27, 2017)
Index

This Course Handbook was compiled for the program, White Collar Crime 2018 Prosecutors and Regulators Speak.

PLI’s nationally acclaimed course handbooks represent the definitive thinking of the nation’s finest legal minds on timely topics and are considered the standard reference in the field. This course handbook is prepared specifically for the program and stands alone as a permanent reference.

Chairperson(s)
Martine M. Beamon, Davis Polk & Wardwell LLP
James J. Benjamin, Akin Gump Strauss Hauer & Feld LLP
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