Posted on September 25, 2007 by Rick Wolf
The SEC has charged former NFL player Dwight Sean Jones with failing to allow the Commission staff to examine his business records, as required by the federal securities laws, in connection with his investment adviser practices, mostly for other former players.
The Division of Enforcement alleges, among other things, that Jones refused to produce or allow the [...]
Filed under: Uncategorized | Tagged: Criminal Investigations, Data Privacy and Security, Records Management Policy Development, Regulatory Compliance, Securities Fraud, White Collar Crime | Leave a Comment »
Posted on September 25, 2007 by Rick Wolf
WASHINGTON
Marcia Coyle/Staff reporter
September 24, 2007
WASHINGTON – The Department of Justice’s latest effort to deal with complaints about prosecutors inappropriately seeking waivers of attorney-client privilege in corporate investigations often falls short of providing meaningful protection, according to a report to a Senate committee by a former Delaware chief justice.
In a submission to the Senate Judiciary Committee, [...]
Filed under: Congressional testimony | Tagged: Attorney-client privilege, Corporate governance, Criminal Investigations, White Collar Crime | Leave a Comment »
