Individual Accountability

News & Analysis as of

Government & Internal Investigations Advisory: DOJ’s New FCPA Pilot Program Provides Roadmap for “Cooperation”

The Department of Justice (DOJ) on April 5 announced a new, one-year pilot program for companies to self-report Foreign Corrupt Practices Act (FCPA) violations. The announcement comes amid other increased FCPA enforcement...more

New FCPA Self-Reporting Pilot Program Formalizes Rewards but Relies on Discretionary Implementation

On April 5, 2016, the Department of Justice unveiled a one-year pilot program designed to encourage companies to self-report violations of the Foreign Corrupt Practices Act (the FCPA). Built upon the Department’s September 9,...more

ABA Antitrust Section’s Spring Meeting—What You Need to Know

The American Bar Association held its 64th annual Antitrust Law Spring Meeting April 5–8, 2016, in Washington, D.C. Over 3,000 practitioners, enforcers, economists and academics from around the world came together to discuss...more

DOJ Announces New Pilot Program to Encourage FCPA Cooperation and Self-Reporting

On April 5, the DOJ announced a one-year pilot program designed to encourage corporations to voluntarily self-report FCPA-related misconduct and cooperate with the DOJ. The program emerges from the DOJ’s heightened focus on...more

Antitrust Division Focuses Enforcement Efforts on Individuals Behind International Cartels

The Antitrust Division of the U.S. Department of Justice is vigorously pursuing civil and criminal actions against individuals—and not simply the companies they run. Just last month, Assistant Attorney General Bill Baer...more

DOJ’s Fraud Section Issues Foreign Corrupt Practices Act Enforcement Plan and Guidance

On April 5, 2016, the Department of Justice’s Fraud Section (“DOJ”) issued its Foreign Corrupt Practices Act (“FCPA”) Enforcement Plan and Guidance (“Guidance”), which announced (1) a more than doubling of DOJ resources...more

New DOJ Guidance and FCPA Pilot Program, Part I-Introduction

Last week the Department of Justice (DOJ) held a Press Conference, open to all, led by Andrew Weissmann and Leslie Caldwell. At this Press Conference, they announced the culmination of several ongoing initiatives into a new...more

Is Confession Good for the Corporate Soul?: DOJ announces new mitigation credit for self-disclosure of FCPA violations

On April 5, 2016, the Department of Justice’s (“DOJ”) Fraud Section Chief, Andrew Weissmann, issued a memo (the “Weissmann Memorandum”) announcing a one-year Pilot Program that offers a carrot and stick approach to...more

Avoiding the “Al Capone” version of an FCPA enforcement action—Are your internal controls in order?

Notorious gangster Al Capone likely was guilty of numerous crimes, including bootlegging, maintaining a house of prostitution, bribery, racketeering and multiple counts of murder. Yet he was never convicted of those crimes. ...more

DOJ Launches FCPA Pilot Program to Encourage Corporate Voluntary Disclosure and Cooperation

On April 5, 2016, the Fraud Section of the Department of Justice's (DOJ) Criminal Division issued an enforcement plan and guidance (the Guidance) laying out three steps it is taking to intensify Foreign Corrupt Practices Act...more

DOJ Fraud Section Offers Super Credit in FCPA Pilot Program

This week, the Fraud Section of the Department of Justice (DOJ) announced a pilot program that extends additional “mitigation credit” to qualifying companies that “fully cooperate” in matters involving the Foreign Corrupt...more

New FCPA Guidance: DOJ Swings and Misses

On April 5, 2016, the Fraud Section of the Criminal Division, Department of Justice ("DOJ") released a policy document entitled, The Fraud Sections' Foreign Corrupt Practices Act Enforcement Plan and Guidance ("Guidance"), in...more

DOJ Announces One-Year FCPA Enforcement Pilot Program

The U.S. Department of Justice (“DOJ”) Criminal Division yesterday announced that its Fraud Section’s Foreign Corrupt Practices Act (“FCPA”) Unit is conducting a one-year FCPA enforcement pilot program (“Program”). A company...more

DOJ’s “Half Off” Deals for Self-Reporting FCPA Misconduct: Certain Exclusions Apply, See Below for Details

For the next year, the Justice Department may be offering up to a 50% discount on fines imposed in FCPA cases. Yesterday, the U.S. Department of Justice’s (“DOJ”) Criminal Division announced the launch of a one-year pilot...more

Criminal Division Launches New FCPA Pilot Program

On April 5, 2016, the Department of Justice upped the ante in its efforts to encourage companies to self-report potential Foreign Corrupt Practices Act (“FCPA”) violations when it unveiled a one-year pilot program that...more

DOJ’s New FCPA Pilot Program: The Offer of Enhanced Credit

DOJ’s continuing focus on individuals has spawned a new one year FCPA Pilot Program which offers companies enhanced cooperation credit The new Pilot Program is part of an overall effort to bolster FCPA compliance. Those...more

Second Circuit Holds that Human Resources Directors may be Individually Liable for FMLA Violations

The Second Circuit recently held that a Director of Human Resources may be individually liable for violations of the Family and Medical Leave Act (FMLA). Relying on the “economic reality” standard derived from the Fair Labor...more

Heard at the 2016 SIFMA Conference

Recently, attorneys from K&L Gates’ Government Enforcement practice group attended the Securities Industry and Financial Markets Association’s (“SIFMA”) Compliance and Legal Society Annual Seminar. We wanted to share with you...more

Banking & Financial Services E-Note - March 2016

Within Burr & Forman's footprint, Florida, Mississippi, and Tennessee have passed statutes exempting Health Savings Account ("HSA") contributions from a debtor's bankruptcy estate. To date, the state of Georgia has not passed...more

Corporate Directors in the Enforcement Cross-Hairs

We have all been reading (over and over) about the Yates Memorandum and the renewed focus on individual culpability. As I have said (over and over), the proof will be in the results – if we see an increased number of criminal...more

The devil is in the detail: call for global standards for corporate settlements in foreign bribery cases

March 16, 2016, saw the OECD host an Anti-Bribery Ministerial meeting in Paris to discuss how to strengthen the implementation of its Anti-Bribery Convention. In the run up to the meeting, the respective heads of Corruption...more

OCC Revises CMP Policy

For the first time in over twenty years, the Office of the Comptroller of the Currency (OCC) has formally changed its policy governing civil money penalties (CMP) against national banks, federal savings associations, federal...more

Nordion: A Contrast in FCPA Enforcement Actions

FCPA enforcement actions run the gamut of fact patterns and structured resolutions. We are in the midst of a transformation in the overall settlement environment with an expected increase in individual prosecutions....more

Corporate E-Note - February 2016

With the start of the 2016 tax reporting season, taxpayers making certain payments to a person or entity with a Tennessee address may find that Tennessee has added to the number of information returns they need to...more

Banking & Financial Services E-Note - February 2016

Cases decided recently in Florida and Illinois call into question one legal rule that some might have thought well-settled: a firstperfected security interest in collateral beats a later-perfected lien creditor's interest in...more

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