This interview article, from the blog of the brilliant folks at Gigster, gives a little insight into how we help our startup clients develop winning regulatory and compliance strategies.
On Monday, May 16th, I will appear with Judge Stephen Freccero of Marin County Superior Court and Stuart Plunkett of Baker Botts LLP on a panel program sponsored by the Continuing Education of the Bar (CEB). The program, “Pretrial Motions Strategies,” will provide practitioners with pointers from the plaintiffs’ and defendants’ sides, as well as… Continue reading Pretrial Motions Strategies
At the Spring Meeting of the ABA’s Business Law Section in Montreal on April 7, 2016, I’ll be chairing a program entitled “Hedge Funds and Private Equity: Evolving Enforcement from the SEC and DOJ and Best Practices to Avoid Pitfalls.” We have a stellar, highly-accomplished panel of experts who will shed light on the most effective… Continue reading Hedge Fund and Private Equity: Enforcement Developments
In a groundbreaking decision, Judge Gleeson granted a third party’s motion to make public a Report by the compliance monitor appointed under HSBC’s deferred prosecution agreement because the Report is a “judicial record” that “the public has a First Amendment right to see.” United States v. HSBC Bank USA and HSBC Holdings PLC, No. 12-CR-763… Continue reading The Confidentiality of Reports by a Corporate Compliance Monitor