Enforcement Actions, Compliance

[Legal Perspective] A Look Ahead at SEC Enforcement Actions with Orrick's Jim Meyers

by JD Supra Law News on 5/14/2013

We recently caught up with Jim Meyers, partner in Orrick Herrington & Sutcliffe's Washington, D.C., office for his perspective on what we might see regarding SEC enforcement actions in the months ahead. A member of Orrick's...more

As Nonprofits Expand Their Global Reach, a Special Focus on Tax, Trademarks and the Foreign Corrupt Practices Act

by Charles Kolstad, Lindsay B. Meyer, Andrew D. Price, Jeffrey S. Tenenbaum | Venable LLP on 5/14/2013

In this presentation: - Introduction - Trademark/Brand Strategy and Protection - U.S. Foreign Corrupt Practices Act and Anti-Corruption - Cross-Border Tax Planning and Compliance Please see...more

InfoBytes Special Alert: CFPB Issues Final Civil Penalty Fund Rule With Request For Comment

by BuckleySandler LLP on 5/10/2013

On April 26, the Consumer Financial Protection Bureau (CFPB or the Bureau) issued a final rule, effective immediately, that sets forth procedures for the administration of the Consumer Financial Civil Penalty Fund (Civil...more

The New Normal: Taking Responsibility for Your Vendors

by Pepper Hamilton LLP on 4/19/2013

As financial institutions continue to strive for reduced costs and greater efficiencies, they are increasingly turning to third-party vendors to handle a wide variety of tasks, from marketing and sales to payment processing....more

The New Normal: Taking Responsibility for Your Vendors [Video]

by Pepper Hamilton LLP on 4/19/2013

As financial institutions continue to strive for reduced costs and greater efficiencies, they are increasingly turning to third-party vendors to handle a wide variety of tasks, from marketing and sales to payment processing....more

Virginia Financial Institutions - April 2013

by Joseph Spruill | Reed Smith on 4/19/2013

In This Issue: - Virginia General Assembly Concludes 2013 Session – Highlights and Considerations for Financial Institutions - Cyber Fraud: Lawsuit by Local Community Bank Demonstrates Need for Vigilance...more

Lessons Learned from the BizJet Executives FCPA Enforcement Actions [Video]

by Thomas Fox on 4/18/2013

BizJet self-disclosed to the DOJ, engaged in what the DOJ termed “extraordinary cooperation” and remediated the people and conduct in question. Further, DuBois and Uhl not only offered themselves up but actively worked with...more

Federal Reserve Board, New York DFS Issue Joint Enforcement Action Against U.S. Branch Of Foreign Bank

by BuckleySandler LLP on 4/12/2013

On April 4, the Federal Reserve Board released a March 25, 2013 written agreement between the Federal Reserve Board, the New York Department of Financial Services, and a German bank and its U.S. branch regarding certain...more

AML Enforcement – A New Era Of Compliance

by Michael Volkov on 4/10/2013

Last year was the year of Bank Secrecy, sanctions and anti-Money Laundering enforcement. The HSBC settlement sparked significant controversy over the claim by the Justice Department that HSBC and other banks are “too big to...more

Suzanne Folsom on Corporate Compliance Issues - [Video]

by LEVICK on 3/6/2013

I recently sat down with Suzanne Folsom, the former Vice President, Chief Regulatory and Compliance Officer, and Deputy General Counsel at AIG, to discuss how companies can best navigate an increasingly tough regulatory...more

A Compilation of Enforcement and Non-Enforcement Actions - February 28, 2013

by Michael G. Dana, Peter D. Fetzer, Terry D. Nelson | Foley & Lardner LLP on 2/28/2013

In This Issue: Non-Enforcement Matters - Registered Investment Advisers’ Annual Review of Compliance Policies and Procedures - Mutual Fund Boards and Oversight of Fair Valuation - Mutual Funds and...more

What Enforcement Actions Based On Distributor Conduct Teach About Improving FCPA Compliance Programs

by Thomas Fox on 2/27/2013

Ed. Note-today we have a guest post by our colleague, William C. Athanas, a partner in the law firm of Waller Lansden Dortch & Davis, LLP. In the prior two posts, David Simon and myself posited different approaches to...more

A Roadmap for Audit Committees in Meeting the Challenges Posed by Enhanced Regulatory Scrutiny Under the Dodd-Frank Act

by N. Richard Janis, Jennifer Sincavage | Manatt, Phelps & Phillips, LLP on 2/25/2013

Audit committees must aid management in navigating an increasingly complex regulatory framework. Two recent developments arising from the passage and implementation of the Dodd-Frank Act have led to further challenges for...more

10 Fraud and Abuse Enforcement Trends You Can't Afford to Ignore in 2013

by Cory Fox, Gregory Saikin | BakerHostetler on 2/15/2013

To paraphrase a famous quote, "Those who do not learn from history are doomed to repeat it," and providers who ignore the significance of the federal government's healthcare fraud enforcements efforts in 2012 do so at their...more

SEC Warns: “the number of cases involving private equity will increase.”

by Ropes & Gray LLP on 1/31/2013

On January 23, the Chief of the Securities Exchange Commission’s Asset Management Unit (“AMU”), Bruce Karpati, participated in a question and answer session at the Private Equity International Conference. He discussed the...more

Top Ten Enforcement Actions for 2012

by Thomas Fox on 1/8/2013

As we welcome in 2013, it is appropriate to reflect back on some of the things which have occurred over 2012 and in the Foreign Corrupt Practices Act (FCPA) enforcement world, it was quite a significant year. The Department...more

The Eli Lilly FCPA Enforcement Action-Lessons Learned [Video]

by Thomas Fox on 1/3/2013

The Lilly FCPA enforcement action, as laid out in the SEC Complaint, provides the compliance practitioner with solid information which can be used in a variety of ways to strengthen an anti-corruption/anti-bribery compliance...more

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Enforcement Actions › Compliance

[Legal Perspective] A Look Ahead at SEC Enforcement Actions with Orrick's Jim Meyers

As Nonprofits Expand Their Global Reach, a Special Focus on Tax, Trademarks and the Foreign Corrupt Practices Act

InfoBytes Special Alert: CFPB Issues Final Civil Penalty Fund Rule With Request For Comment

The New Normal: Taking Responsibility for Your Vendors

The New Normal: Taking Responsibility for Your Vendors [Video]

Virginia Financial Institutions - April 2013

Lessons Learned from the BizJet Executives FCPA Enforcement Actions [Video]

Federal Reserve Board, New York DFS Issue Joint Enforcement Action Against U.S. Branch Of Foreign Bank

AML Enforcement – A New Era Of Compliance

Suzanne Folsom on Corporate Compliance Issues - [Video]

A Compilation of Enforcement and Non-Enforcement Actions - February 28, 2013

What Enforcement Actions Based On Distributor Conduct Teach About Improving FCPA Compliance Programs

A Roadmap for Audit Committees in Meeting the Challenges Posed by Enhanced Regulatory Scrutiny Under the Dodd-Frank Act

10 Fraud and Abuse Enforcement Trends You Can't Afford to Ignore in 2013

SEC Warns: “the number of cases involving private equity will increase.”

Top Ten Enforcement Actions for 2012

The Eli Lilly FCPA Enforcement Action-Lessons Learned [Video]

The New Normal: Taking Responsibility for Your Vendors [Video]

Lessons Learned from the BizJet Executives FCPA Enforcement Actions [Video]

Suzanne Folsom on Corporate Compliance Issues - [Video]

The Eli Lilly FCPA Enforcement Action-Lessons Learned [Video]

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