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Since taking over the enforcement helm, Director Grewal has made a conscious effort to make sure penalties are having the intended deterrent effect to shape corporate conduct and restore faith in the system. [read post]
4 Feb 2023, 8:05 am by Jeffrey P. Gale, P.A.
For purposes of this blog, a transitory substance is any solid or liquid substance, object, or item that is located in a place where it does not belong. [read post]
15 Jan 2023, 2:35 pm by Rob Robinson
One includes the Seaboard Report, where the SEC articulated a framework for evaluating cooperation by companies.[21] The report identified four broad measures of a company’s cooperation: self-policing prior to the discovery of the misconduct, self-reporting of misconduct when it is discovered, remediation, and cooperation with law enforcement authorities.[22] Another key document, the Penalties Statement, elab [read post]
16 Sep 2022, 9:47 am by Wesley K. Wright and Liam Fulling
  The certification must be made under penalty of perjury by a corporate officer with supervisory and budgetary authority over network operations. [read post]
16 May 2022, 9:01 pm by Gurbir Grewal
The public needs to know when they read a news story about corporate malfeasance that we will move quickly to investigate what happened and hold wrongdoers accountable, even in the most complex cases. [read post]
16 May 2022, 6:09 am by John Jascob
The Seaboard report, Grewal said, offers a framework for obtaining cooperation credit, but it does not offer an exhaustive list of all actions that may result in credit. [read post]
19 Apr 2022, 9:05 pm by Rebecca Files
(now Bloomberg BNA) Corporate Law and Business 39 (19), May 14. [read post]
2 Aug 2021, 1:55 pm by Steve Gottlieb
Global warming brought devastating floods to the Eastern seaboard, Belgium, Germany, the Netherlands and the Gulf Coast as well as a large part of Asia. [read post]
17 May 2021, 9:05 pm by Cookson Beecher
It’s not agriculture the way most of us think of it: A farmer on a tractor plowing up the soil or a crew of farmworkers harvesting a crop. [read post]
25 Mar 2021, 10:36 am by anne
International Development Finance Corporation has nearly $60 billion to finance private sector projects in poor countries, with the aim of developing their economies and creating strong trading partners. [read post]
7 Dec 2020, 3:03 am by Lynn Jokela
This K&L Gates blog includes practical considerations about cooperation gleaned from remarks by Enforcement Division Associate Director Anita Bandy at the recent SEC Speaks conference: Cooperation is largely still evaluated under the factors announced in the “Seaboard Report” issued by the SEC in 2001. [read post]
3 Mar 2020, 12:21 pm by Steve Gottlieb
Corporations unified their workforces, capped with ceremonies in which new Americans stepped out of what were labeled melting pots. [read post]
6 Aug 2019, 11:00 pm by Site Admin
Could you imagine paying for moving your stuff half way across the country, down the eastern seaboard and only paying less than $400? [read post]
6 Jun 2019, 1:44 pm by Astarita
Peavler was integral to the issuance of the SEC’s Seaboard Report regarding cooperation, wherein the Commission declined to take action against a company in recognition of the company’s response to the conduct at issue. [read post]
29 May 2019, 5:40 am by Law Offices of Jeffrey S. Glassman
Proving liability means building a case against some of the nation’s largest corporations for exposure that often happened decades ago. [read post]
16 May 2019, 7:03 am by John Jascob
When asked how the Commission determines to give credit for cooperating with the staff, Berger said the SEC still looks at the Seaboard factors first articulated in 2001. [read post]
30 Apr 2019, 10:30 am by Dan Ernst
As a result, many nations, monarchs, corporations and Western seaboard economies financially benefited from the Trans-Atlantic slave trade through condonation and participation. [read post]