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Defense Strategies and Compliance Issues in The New Insider Trading Environment
By Cheryl A. Krause
With the perspective that nearly three years brings, it is now possible to look back upon the wave of insider trading prosecutions and enforcement actions during this period as a revolution in white collar criminal law. The sheer number of cases brought by regulators, the novelty of the investigative techniques employed, the complexity of the insider trading enterprises uncovered, the resulting convictions and guilty pleas, the magnitude of resulting sentences and penalties, and the anticipated impact on future investigations, sentencing, and compliance, all signal a new era in white collar prosecutions. What this all means for white collar defense counsel and compliance personnel is becoming clearer, although still evolving; initial thoughts are offered below.
How We Got Here (in Brief)
A comprehensive history of the current wave of insider trading investigations has yet to be written, and is beyond the scope of this article, but the basics are relatively well known. In mid
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