In one of the first substantive speeches on corporate criminal enforcement under the Biden administration, Deputy Attorney General Lisa Monaco announced on October 28, 2021, several immediate changes to Department of Justice...more
11/3/2021
/ Compliance ,
Criminal Prosecution ,
Deferred Prosecution Agreements ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Internal Controls ,
Internal Investigations ,
Non-Prosecution Agreements ,
Risk Assessment ,
White Collar Crimes
Addressing the Evolving Risks -
Warren Buffett said that “only when the tide goes out do you discover who’s been swimming naked.” Buffett was not talking about compliance programs in a time of crisis, but his wisdom applies...more
5/2/2020
/ Anti-Corruption ,
Anti-Money Laundering ,
BSA/AML ,
Compliance ,
Coronavirus/COVID-19 ,
Corporate Misconduct ,
Cybersecurity ,
Disclosure Requirements ,
Economic Sanctions ,
Enforcement Actions ,
FFIEC ,
Financial Distress ,
Financial Fraud ,
FinCEN ,
Foreign Corrupt Practices Act (FCPA) ,
Market Manipulation ,
Office of Foreign Assets Control (OFAC) ,
Popular ,
Public Health Emergency ,
Publicly-Traded Companies ,
Risk Assessment ,
Risk Mitigation ,
Sanction Violations ,
Securities and Exchange Commission (SEC)
The U.K. government is set to introduce a new corporate criminal offence, based on the strict liability of the entity in question. It almost certainly will come into force in 2017, once the Criminal Finances Bill (Bill) is...more
12/23/2016
/ Associated Persons ,
Corporate Liability ,
Criminal Finances Bill ,
Criminal Liability ,
Financial Conduct Authority (FCA) ,
Fraud Prevention ,
HMRC ,
Public Interest ,
Risk Assessment ,
Risk Mitigation ,
Tax Evasion ,
UK
A new French law titled “Transparency, the Fight Against Corruption and Modernization of the Economy,” which was published in the French Official Journal on December 10, 2016 (known as Sapin II, as it was named after the...more
12/21/2016
/ Anti-Corruption ,
Bribery ,
Code of Conduct ,
Compliance ,
Data Protection Authority ,
Deferred Prosecution Agreements ,
France ,
Remediation ,
Risk Assessment ,
Sanctions ,
Sapin II ,
Transparency ,
Whistleblower Protection Policies