Download or read book SEC Compliance and Enforcement Answer Book 2015 written by David M. Stuart and published by . This book was released on 2015-08-07 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provides sophisticated insight on the complex and extensive body of federal securities laws. Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division. Leveraging the authors' experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on: - Conducting an effective internal investigation - while the SEC is simultaneously investigating - Responding to SEC requests and subpoenas for documents, interviews, and testimony - Cooperating effectively with SEC staff - The Wells process, negotiating resolutions, and litigating with the SEC - The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation Additionally, SEC Compliance and Enforcement Answer Book 2015 answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.
Download or read book Deskbook on Internal Investigations Corporate Compliance and White Collar Issues written by and published by . This book was released on 2007 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Deskbook on Internal Investigations, Corporate Compliance and White Collar Issues provides that necessary information. Stocked with easy-to-follow checklists, the Deskbook shows you how to carry out internal investigations that spot and stop legal problems, protect the rights of employees when they're subject to investigation or prosecution, and cooperate with government investigators in ways that help reduce legal and financial damage if wrongdoing is proved.
Download or read book FDA Investigations Operations Manual written by Food and Drug Administration and published by . This book was released on 2003 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Available now to FDA-regulated organizations, this manual allows facility managers to look at their operation's regulatory compliance through the eyes of the government. Because this is the primary reference manual used by FDA personnel to conduct field investigation activities, you can feel confident you are preparing appropriate planning or action. This manual includes revised instructions regarding the release of information and covers FDA's policies and expectations on a comprehensive range of topics: FDA's authority to enter and inspect, inspection notification, detailed inspection procedures, recall monitoring, inspecting import procedures, computerized data requests, federal/state inspection relationships, discussions with management regarding privileged information, seizure and prosecution, HACCP, bioengineered food, dietary supplements, cosmetics, bioterrorism, and product disposition. The manual also includes a directory of Office of Regulatory Affairs offices and divisions.
Download or read book The Compliance Response to Misconduct Allegations written by John D. Thompson and published by Elsevier. This book was released on 2013-03-28 with total page 88 pages. Available in PDF, EPUB and Kindle. Book excerpt: The Compliance Response to Misconduct Allegations playbook is a step-by-step guide for what to do—and what not to do—in performing an investigation into claims of violations of employee policies. It has been created for corporate professionals who are often the first to be contacted during a suspected employee-related claim, and who may not have investigative training. Sections of this playbook address the decision whether to investigate, the naming of investigators, investigation planning, interview techniques and issues, the importance of taking notes and written statements, investigations in union settings, and much more. Also included are a series of checklists and templates to aid the investigative team before, during, and after an investigation. This playbook is an excellent risk management resource for audit professionals, human resources managers, site or facility managers, small business owners, or anyone who may be the first to receive reports of wrongdoing, regulatory violations, or prohibited workforce behavior. The Compliance Response to Misconduct Allegations is a part of Elsevier’s Security Executive Council Risk Management Portfolio, a collection of real world solutions and "how-to" guidelines that equip executives, practitioners, and educators with proven information for successful security and risk management programs. Describes the ethical and legal reasons for a company to follow up on and take every employee complaint seriously Provides a framework of best practices the investigative team can use to prepare for and conduct workplace investigations Includes a series of checklists and templates to aid the investigative team before, during, and after the investigation
Download or read book Workplace Investigation written by and published by . This book was released on 2013 with total page 218 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Federal Contract Compliance Manual written by United States. Office of Federal Contract Compliance Programs and published by . This book was released on 1990 with total page 1110 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Corporate Criminal Defense written by Eric W. Sitarchuk and published by . This book was released on 2010 with total page 912 pages. Available in PDF, EPUB and Kindle. Book excerpt: The current focus on compliance, disclosure, enforcement, and penalties continues to increase. As new and sweeping financial reform and other laws are passed and new regulations are promulgated, enforcement activity will continue to be stepped-up and all corporations must be prepared. Corporate Criminal Defense: Compliance, Investigation, and Trial Strategies enables the practitioner to provide the highest quality and most current compliance advice regarding both current and future federal government regulation and scrutiny. This brand new resource helps practitioners identify the specific areas that leave corporate clients open to legal actions and guides them on how to spot risk-points and respond when a situation arises. Corporate Criminal Defense: Compliance, Investigation, and Trial Strategies provides expert guidance on: Addressing the elements, policies, training materials, auditing procedures, and structure of compliance programs. Representing corporate officers, directors, boards, and employees. Anticipating and responding effectively to DOJ and SEC investigations and enforcement. Representing the corporation and its individuals in pre-trial and trial proceedings. Corporate Criminal Defense: Compliance, Investigation, and Trial Strategies provides clear, concise, and proven answers to these key questions: How do you prevent investigations? What do you do if an investigation begins? What efforts can you make to avoid trial? How do you handle a trial if it can't be avoided? Only Corporate Criminal Defense: Compliance, Investigation, and Trial Strategies combines practice tips and warnings, checklists, strategic commentary, and primary law interpretation-- all in one essential volume.
Download or read book Practitioner s Guide to Global Investigations written by Judith Seddon and published by Law Business Research Ltd.. This book was released on 2017-01-27 with total page 701 pages. Available in PDF, EPUB and Kindle. Book excerpt: Global Investigations Review's The Practitioner's Guide to Global Investigations covers what to do at every stage during the lifecycle of a corporate investigation - from discovery of the initial problem to conclusion and beyond. Using US and UK practice and procedure to illustrate, the guide tracks the development of a serious allegation (whether originating inside or outside a company) as it develops - looking at the key risks that arise and the challenges it poses, along with the opportunities that may exist for its resolution. It offers expert insight into fact-gathering (including document preservation and collection, and witness interviews); structuring the investigation (the complexities of cross-border privilege issues); and strategizing effectively to resolve cross-border probes and manage corporate reputation. Further content provides detailed comparable surveys of the relevant law and practice in 12 jurisdictions that build on many of the vital issues highlighted. It is practical guide for external and in house legal counsel, compliance officers and accounting practitioners wishing to benchmark their practice against leaders in the field. Edited by Judith Seddon, Eleanor Davison, Christopher J Morvillo, Michael Bowes QC and Luke Tolaini, the book has 47 chapters contributed by leading practitioners and firms across the world such as Baker & McKenzie LLP, Clifford Chance LLP, Skadden, Arps, Slate, Meagher & Flom LLP. "e;Global Investigations Review's The Practitioner's Guide to Global Investigations is the most comprehensive publication currently on the market in relation to cross-border, multifaceted corporate investigations. It does what it says on the tin - 'How does one conduct such an investigation? And what does one have in mind at various times?' - and it does it rather well."e; Tapan Debnath, Legal Counsel, Nokia
Download or read book Health Care Fraud written by Robert Fabrikant and published by Law Journal Press. This book was released on 2023-12-28 with total page 1308 pages. Available in PDF, EPUB and Kindle. Book excerpt: Health Care Fraud: Enforcement and Compliance focuses on fraud and abuse issues involving health care providers as well as application of the laws governing fraud and abuse to manufacturers of drugs and medical devices and other non-providers such as medical researchers.
Download or read book Introduction to Criminal Investigation written by Michael Birzer and published by CRC Press. This book was released on 2018-07-31 with total page 390 pages. Available in PDF, EPUB and Kindle. Book excerpt: The manner in which criminal investigators are trained is neither uniform nor consistent, ranging from sophisticated training protocols in some departments to on-the-job experience alongside senior investigators in others. Ideal for students taking a first course in the subject as well as professionals in need of a refresher, Introduction to Criminal Investigation uses an accessible format to convey concepts in practical, concrete terms. Topics discussed include: The history of criminal investigation in Western society Qualifications for becoming an investigator, the selection process, and ideal training requirements Crime scene search techniques, including planning and post-search debriefing Preparing effective field notes and investigative reports Interviewing and interrogating Types of evidence found at the crime scene and how to collect, package, and preserve it The contributions of forensic science to criminal investigations and the equipment used in crime labs Investigative protocol for a range of crimes, including property crimes, auto theft, arson, financial crimes, homicide, assault, sex crimes, and robbery Specialized investigations, including drug trafficking, cybercrime, and gang-related crime Legal issues involved in criminal investigations and preparing a case for trial Bringing together contributions from law enforcement personnel, academics, and attorneys, the book combines practical and theoretical elements to provide a comprehensive examination of today‘s criminal investigative process. The accessible manner in which the information is conveyed makes this an ideal text for a wide-ranging audience.
Download or read book Paterson City School District Comprehensive Compliance Investigation Report written by New Jersey. Department of Education. Office of Compliance Investigation and published by . This book was released on 1991 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book The Foreign Corrupt Practices Act written by Martin Weinstein and published by Law Journal Seminars Press. This book was released on 2012 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: The authors, expert practitioners specializing in FCPA cases, reveal numerous hidden pitfalls and provide helpful guidance for attorneys dealing with almost any FCPA-related eventuality.
Download or read book The Legal Audit written by Louis Morris Brown and published by West Group Publishing. This book was released on 1990 with total page 672 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investigation of Civil Rights Enforcement by the Department of Education written by United States. Congress. House. Committee on Government Operations. Intergovernmental Relations and Human Resources Subcommittee and published by . This book was released on 1986 with total page 428 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book National Enforcement Investigations Center written by United States. Environmental Protection Agency. National Enforcement Investigation Center and published by . This book was released on 1993 with total page 14 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Occupational Crime written by Ernest C. Blount and published by CRC Press. This book was released on 2002-08-20 with total page 255 pages. Available in PDF, EPUB and Kindle. Book excerpt: DID YOU KNOW? While organizational entities cannot be sent to prison, they can be heavily fined, ordered to make restitution, placed on probation, forced to forfeit property, suffer public and stakeholder recriminations, and can be forced out of business. Avoid these unnecessary repercussions with Occupational Crime: Deterrence, Investigatio
Download or read book IRS and Nontax Related Criminal Enforcement Investigation written by United States. Congress. Senate. Committee on Finance. Subcommittee on Oversight of the Internal Revenue Service and published by . This book was released on 1980 with total page 376 pages. Available in PDF, EPUB and Kindle. Book excerpt:
