AML BSA and Sanctions Compliance Part II of II June 24, 2014
AML BSA and Sanctions Compliance I of II June 10 2014
FCPA Compliance and Ethics Report-Episode 77World Cup Report-Part VII, with Mike Brown
FCPA Compliance and Ethics Report-Episode 76-World Cup Report-Part VI
FCPA Compliance and Ethics Report-Episode 75-Roy Snell CEO of SCCE
It’s Easier This Way: Justin Llewellyn-Jones of Fidessa Maps A Compliance Path for Firms
FCPA Compliance and Ethics Report-Episode 73-World Cup Report-Part V
Navigational Beacon: NASDAQ OMX Group’s Hans-Ole Jochumsen Steering through Challenges
FCPA Compliance and Ethics Report-Episode 72-interview with Michael Rasmussen
FCPA Compliance and Ethics Report-Episode 71-World Cup Report-Part IV
Speed Reader: FIA Europe’s Simon Puleston Jones making his way through MiFID II
FCPA Compliance and Ethics Report-Episode 70-World Cup Report-Part III
Slick Transition: ICE Clear Europe’s Paul Swann Talks NYSE Integration
FCPA Compliance and Ethics Report-Episode 69-Joe Oringel, co-founder of Visual RiskIQ on Transaction Monintoring
Underwriters, Universities and Government Debt Issuers Face a Critical Deadline
FCPA Compliance and Ethics Report-Episode 67-World Cup Report-Part II
FCPA Compliance and Ethics Report-Episode 66-Visit with the FCPA Professor
FCPA Compliance and Ethics Report-Episode 65-World Cup Report-Part I
Hot Topics Roundtable for Fund Managers - Cybersecurity, Valuation, and More
FCPA Compliance and Ethics Report-Episode 64-Managing the Third Party Relationship Under the FCPA, Part II
There have been major developments in the trade, solar cells, US/Chinese antitrust, and securities areas.
REASON FOR THIS NEWSLETTER -
Some readers have commented that this newsletter is...more
We provide below alphabetically very brief summaries of key US laws addressed by cases summarized in this edition. Please note that these summaries provide a very simplified overview of the statutes and are not intended to...more
It's white-collar week here at the federal criminal appeals blog. Two big wins in white collar cases - a price fixing conspiracy case in U.S. v. Grimm and a sentencing win in a securities fraud case in U.S. v. Simmons....more
There have been some major developments in the trade, Customs fraud, patents, US/Chinese antitrust, and securities areas.
I have just returned from a trip of more than 2 weeks in China. While in China, we discussed US...more
Regulators speaking at the American Conference Institute’s 30th International Conference on the Foreign Corrupt Practices Act tout large penalties, enhanced international cooperation, and a renewed focus on individual...more
With the occurrence of near daily threats against the nation’s critical infrastructure (CI), cybersecurity continues to be a constant concern of owners and operators of CI, Congress and the Obama Administration. Responses to...more
Introduction: High Pressure Regulatory Environment -
Now more than ever, there is increased regulatory pressure on organizations – and their Boards of Directors – to create and maintain effective ethics and compliance...more
The art of day-to-day internal investigations has been ignored in favor of media reports on high-profile, high-stakes internal investigations.
With the increasing threat of whistleblower complaints and increasing...more
UBS and Barclays Acknowledge Making False Libor Submissions. Investigations into misconduct at UBS and Barclays have revealed pervasive corruption of the London Interbank Offered Rate (“Libor”), which provides a benchmark for...more
One by one global banks are being ensnared in the LIBOR prosecution net.
Late last year UBS, the Swiss banking giant, entered into a massive settlement in which it agreed to pay approximately $1.5 billion in fines and...more
The definitive guide to complying with the Foreign Corrupt Practices Act, written by those in charge of enforcing it: The Securities and Exchange Commission and the Department of Justice. From the SEC website:
A recent video posted by the Markkula Center of Applied Ethics highlights one of the most difficult ethical issues facing FCPA compliance officers – doing your job when the CEO does not want you to. To provide some guidance...more
Originally published in Corporate Crime, Fraud and Investigations multi-jurisdictional guide 2012/13 and is reproduced with the permission of the publisher, Practical Law Company.
- Regulatory provisions and...more
I believe that the Peterson enforcement action is one of the most significant in 2012 to date. It provides solid guidance to the compliance practitioner on what the DOJ and SEC think is important and gives you actions that...more
Enforcement of the U.S. Foreign Corrupt Practices Act continues to increase dramatically. The U.S. government is dedicating more resources to FCPA enforcement and bringing more enforcement actions than ever before. This...more
A key, but often overlooked, part of any anti-corruption compliance program is the need to document decisions made by the company. Documentation is critical to demonstrate the company's intent -- the absence of criminal...more
This is the third of a regular series of posts that summarize and wrap up our latest thoughts that have appeared recently on Ifrah Law’s blogs.
1. Will the Internet Taint a Loughner Verdict?
Is it impossible for accused...more
The U.S. Sentencing Commission issued several amendments to the Federal Sentencing Guidelines in 2010. Among the amendments are two that deal specifically with corporations or "organizational defendants."
Last month, a federal judge in Santa Ana, Calif., dismissed with prejudice federal criminal fraud charges against several Broadcom Corp. executives and essentially terminated one of the last of the stock options backdating...more
IN THIS ISSUE:
*Anthony DiResta Joins Manatt
*Oprah Sues Over Fake Endorsements
*Trade Group Issues Mobile Ad Guidelines
*Phishing Scams Decline Sharply
*Ad Firm Says Agency Stole Bing Ad Concept
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