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This Week in FCPA-Epiode 23, the Wells Fargo edition [Video]

In this week's episode, Jay Rosen and I discuss the following: Show notes for this week’s edition: 1. Tom's week long series on Well’s Fargo scandal. 2. Christina Muehl’s two part series on Corruption, Crime and...more

Your daily dose of financial news - The Brief – 9.21.16

Testifying before the Senate Banking Committee yesterday, Wells Fargo CEO John Stumpf admitted that the illegal sham-account-creation activity at the heart of its recent SEC fine may have begun earlier than first reported....more

FCPA Compliance Report-Episode 279-Adam Turteltaub on the SCCE 2016 Compliance and Ethics Institute [Video]

In this episode I visit with Adam Turteltaub about the upcoming SCCE 2016 Compliance and Ethics Institute. ...more

This Week in FCPA-Epiode 22, the Jimmy Garappolo edition [Video]

In this episode Jay Rosen and I discuss: 1. Harris Corp, China-business unit head settles FCPA matter, for the SEC Cease and Desist Order; 2. Wells Fargo fraudulent accounts scandal; 3. Telia reports $1.4bn demand to...more

FCPA Compliance and Ethics Report-Episode 276-Regulator Evolution [Video]

In this episode Red Flag Group CEO Scott Lane and I discuss how regulators thinking on best practices compliance programs has evolved. ...more

FCPA Compliance and Ethics Report-Episode 275-the Key Energy FCPA Enforcement Action [Video]

The podcast reviews the Key Energy FCPA enforcement action. I discuss how the company obtained its excellent result and the lessons learned for the compliance practitioner. You can use the underlying facts and compliance...more

Put the Candle Back: the AstraZeneca FCPA Enforcement Action

I am back from a two-week summer study program at Oxford, run by Michigan State University through its Odyssey to Oxford program. It was a great experience. My class was on The Tudors in film and print so not only did I...more

Lessons Learned from AstraZeneca’s $5.5 Million SEC FCPA Settlement

Last week, the SEC added another pharmaceutical company to its list of FCPA violators when AstraZeneca agreed to a $5.5 million settlement with the SEC. AZ is now the 25th drug or medical device company to pay an FCPA penalty...more

This Week in FCPA-Epiode 20, the Oxford Edition [Video]

Show Notes for Week ending September 2, 2016: 1.The Astra Zenca FCPA settlement with the SEC, on FCPA Blog. 2. Brazilian President Dilma Rousseff is impeached, as reported in the New York Times. 3. The new Mexican...more

Ten Hallmarks of an Effective Compliance Program-Hallmark 10 [Video]

In this final podcast in my 10 part series on the Ten Hallmarks of an Effective Compliance program, I review Hallmark 10-mergers and acquisitions under a best practices compliance program. ...more

Ten Hallmarks of an Effective Compliance Program-Hallmark 9 [Video]

In this 10-episode podcast series I take a look at all ten hallmarks of an effective compliance program as set out in the FCPA Guidance. In this episode I review Hallmark Continuous 9 -Improvement: Periodic Testing and...more

Ten Hallmarks of an Effective Compliance Program-Hallmark 7 [Video]

In this podcast, I discuss the most vexing problem of a best practices compliance program, managing third party risk. ...more

Ten Hallmarks of an Effective Compliance Program-Hallmark 6 [Video]

In this 10-episode podcast series I take a look at all ten hallmarks of an effective compliance program as set out in the FCPA Guidance. In this episode I review Hallmark 6-Incentives and Disciplinary Measures....more

Ten Hallmarks of an Effective Compliance Program-Hallmark 4, risk assessments [Video]

In this 10-episode podcast series I take a look at the hallmarks of an effective compliance program. In this episode I review Hallmark 4-risk assessments....more

Your daily dose of financial news - The Brief – 8.25.16

US regulators are “ramping up oversight” of Swift—the financial messaging system used throughout global finance that’s been a key conduit for hackers in recent attacks of Bangladeshi and Ecuadorian banks....more

Ten Hallmarks of an Effective Compliance Program-Hallmark 4 [Video]

In this 10-episode podcast series I take a look at all ten hallmarks of an effective compliance program as set out in the FCPA Guidance. In this episode I review Hallmark 4-risk assessments....more

Ten Hallmarks of an Effective Compliance Program-Hallmark 3 [Video]

In this 10-episode podcast series I take a look at all ten hallmarks of an effective compliance program as set out in the FCPA Guidance. In this episode I review Hallmark 3 - Oversight, Autonomy and Resources....more

Ten Hallmarks of an Effective Compliance Program-Hallmark 2 [Video]

In this 10-episode podcast series I take a look at all ten hallmarks of an effective compliance program as set out in the FCPA Guidance. In this episode I review Hallmark 2-Code of Conduct and Compliance Policies and...more

This Week in FCPA-Episode 18, the Olympics edition [Video]

Show notes for week ending August 19, 2016: 1. Key Energy FCPA enforcement action. 2. More Och-Ziff FCPA news as its “Fixer” is arrested for FCPA violations. 3. EU’s to Olympic committee arrested and charged with ticket...more

FCPA Compliance Report-Episode 274, Scott Lane on an holistic approach to third party management [Video]

In this episode, I visit with Red Flag Group CEO Scott Lane on a holistic approach to third-party risk management....more

FCPA Compliance Report-Episode 273 [Video]

In this episode, I visit with Marc Bohn, Counsel at Miller & Chevalier on the recent 11th circuit opinion limiting the SOL on profit disgorgement claims to 5 years and the IRS tax letter holding payments for profit...more

EPA and NHTA Finalize Stringent Emission and Fuel Efficiency Standards

Yesterday, the U.S. Environmental Protection Agency (EPA) and the National Highway Traffic Safety Administration (NHTSA) finalized more stringent greenhouse gas (GHG) emission standards and fuel efficiency standards for...more

DOJ Doubles Penalties for Violation of the False Claims Act

The Department of Justice (“DOJ”) has issued an interim final rule that dramatically increases the dollar amount for civil penalties that can be assessed against an entity or individual who violates the False Claims Act...more

New York Appellate Court Reverse Lower Court, Allows RMBS Action to Proceed Against Morgan Stanley

On August 11, 2016, the First Department of the Appellate Division of the Supreme Court of the State of New York reversed the lower court, allowing RMBS Trustee U.S. Bank to proceed with claims against Morgan Stanley in...more

Compliance into the Weeds-Episode 12-risk in a decentralized business model [Video]

In this episode, Matt Kelly and I go deep into the compliance weeds in our discussion of operational, compliance and regulatory risks in a decentralized business model....more

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