Michael Volkov – The Volkov Law Group

DPAs and “Reforming” Corporate Criminal Liability

The controversy surrounding Deferred Prosecution Agreements (“DPAs”) and Non- Prosecution Agreements (“NPAs”) continues to boil. In response to continuing criticism that the Justice Department is using DPAs and NPAs to…more
| Commercial Law & Contracts, International Law & Trade, Securities Law

Corporate Branding and Ethics and Compliance Charters and Policies

There is a lot written on the value of symbols in political and public relations campaigns. My favorite President, Franklin Roosevelt, was a master at using symbols to communicate powerful ideas to the public…more
| Business Organizations, Commercial Law & Contracts

Compliance Program Effectiveness Requires Accountability

A compliance program requires accountability. You can have ethics and you can have compliance policies, procedures and all the bells and whistles, but someone has to be accountable…more
| Commercial Law & Contracts

The Importance of Organizational Justice

A company is its own world. A culture of ethics and compliance cannot exist without organizational justice. If company managers and employees perceive that the internal justice system does not work, the company will be unable…more
| Commercial Law & Contracts

Ethics and Compliance, Not Compliance and Ethics

I have several pet peeves in the ethics and compliance space (who knows, maybe in the personal space as well but we are all reluctant to acknowledge those except to our loved ones)…more
| Commercial Law & Contracts

Commerzbank: Remediation Under the Government Hammer and Microscope (Part III of III)

The Commerzbank bank case provides a chilling story of a systemic breakdown in compliance, and the far-reaching consequences of such a breakdown. Even in the context of a systemic breakdown, there are valuable lessons to be…more
| Commercial Law & Contracts, Elections & Politics, Finance & Banking, International Law & Trade

Commerzbank’s Compliance Catastrophe — Flouting Sanctions and BSA/AML Laws (Part II of III)

Sometimes a picture is very clear but legal words and concepts are proffered in an attempt to disguise and even deceive. As set forth in the factual statements outlined by the government, and agreed to by Commerzbank, it is…more
| Commercial Law & Contracts, Elections & Politics, Finance & Banking, International Law & Trade

Commerzbank’s Settlement — The Government’s Frustration Boils Over (Part I of III)

Global banks are caught in US prosecutor’s cross hairs. Not only do they have to worry about basic AML compliance and enforcement, they now have major risks in sanctions compliance. For some inexplicable reasons, global banks…more
| Commercial Law & Contracts, Elections & Politics, Finance & Banking, International Law & Trade

Technology is Transforming Third Party Risk Management: Predicting the Future

I usually avoid predicting the future because I am often wrong. But in this case I’m going to make an exception. Here is my 100 percent, sure-to-be true prediction: technology is going to change how compliance professionals do…more
| Commercial Law & Contracts, International Law & Trade, Securities Law

When Does a CCO Need to Walk the Dotted Line to the Board?

Johnny Cash was a singer for the ages — little did we know one of his great songs — Walk the Line was meant for Chief Compliance Officers. Every CCO has (or should have) the authority to report directly to the board…more
| Commercial Law & Contracts

Practical Advice on Risk and Compliance Program Assessments

Sometimes the compliance industry makes things harder than they really need to be. As a result, Chief Compliance Officers are left to modify and transform practices and tools to fit the real world. I understand why CCOs do that…more
| Commercial Law & Contracts, International Law & Trade, Securities Law

Tracy and Hepburn: CCOs and Internal Auditors

If you enjoy Spencer Tracy and Kate Hepburn movies like I do, you know the value of a great partnership. Tracy and Hepburn movies are classics, and their chemistry was powerful (on the screen and off)…more
| Commercial Law & Contracts

Reminders from the Goodyear FCPA Settlement

FCPA settlements carry with them a basket of compliance and enforcement lessons. The recent Goodyear settlement with the SEC for $16 million carries some important compliance and strategic reminders for ethics and compliance…more
| Commercial Law & Contracts, Labor & Employment Law, Mergers & Acquisitions, International Law & Trade, Securities Law

Financial Institutions and Ethics – Some Just Do Not Get It

I am starting to repeat myself – it is a sign of old age (ask my wife), or maybe I have a point to make. I have written several times about financial institutions and the need to embrace a culture of ethics and compliance…more
| Commercial Law & Contracts, Elections & Politics, Finance & Banking, International Law & Trade

Corporate Board Responsibility for Compliance

You can talk all you want about the importance of “tone-at-the-top.” People use that term all the time and everyone nods their heads in agreement. But what is the “top”? Is it the CEO? Is it senior executives? Is it the…more
| Commercial Law & Contracts
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