Individual Accountability

News & Analysis as of

Spud Webb and Corporate Culture

On this day 30 years ago, history was made when Spud Webb won the 3rd NBA Slam Dunk contest. Webb joined future Hall-of-Famers Michael Jordan, who won the inaugural contest in 1984, and Dominic Wilkins, who won the second...more

Raising the Stakes for AML Compliance Officers: Court Refuses to Rule Out Potential Liability for Role in Employer's BSA...

Why it matters - A federal court judge in Minnesota has rejected the motion of a former chief compliance officer to dismiss the U.S. government's claim that he is liable under the federal Bank Secrecy Act for his...more

Business Litigation Report - January 2016

Legal Issues Raised by the Driverless Vehicle Revolution – PART 2 - Part 1 of this article, published in the December 2015 Business Litigation Report, described emerging driverless vehicle technology and related patent...more

January 2016: Trial Practice Update

DOJ’s New Policies Target Executives of Corporate America. The United States Department of Justice has raised the stakes in corporate criminal investigations, and general counsel, corporate executives, and board members...more

New California Employment Laws of Particular Interest to the Hospitality Industry

SB 588: Expanded Individual Liability For Owner, Director, Officer or Managing Agent - Senate Bill No. 588, the "California Fair Day's Pay Act," amends or adds 13 statutory sections to California's Labor Code or Code of...more

False Claims Act: 2015 Year-in-Review

In 2015, the Justice Department (DOJ) continued to give high priority to False Claims Act (FCA) investigations, bringing in nearly $3.6 billion in settlements and judgments. More than 630 qui tam suits were filed. DOJ's...more

[Webinar] Yates Memo Update—Individual Accountability and Best Practices for Executives: WilmerHale Financial Institutions Webinar...

Join WilmerHale for the kickoff session of the 2016 Financial Institutions Webinar Series, where attorneys will explore recent developments and legal issues affecting financial institutions and providers of financial...more

2015 – The Health Law Year in Review

With 2015 in the books, we are pleased to reflect on some of the major developments over the past year in the field of health law. The year was marked by changes in Medicare payment models—from government pronouncements...more

FCA makes new rules

FCA has made various changes to its Handbook following its Board meetings on 25 November and 3 December: - the Individual Accountability (Non-Solvency 2 Firms) Instrument 2015: this takes effect on various dates between...more

Reflections on the Yates Memo

The Department of Justice (DOJ) released a potential game-changing enforcement policy to DOJ staff on 9 September 2015 called ‘Individual Accountability for Corporate Wrongdoing’ (the Yates Memo). The Memo, publicised...more

White Collar Enforcement Omnibus Edition—Cyber Crimes, Sanctions and Spoofing, Oh My!

Why it matters: Since our last newsletter, a lot has been going on in white collar enforcement… so much so that we decided to devote an entire newsletter to it. It was a month of superlatives. The DOJ and the SEC announced...more

Justice Department Updates United States Attorneys' Manual to Emphasize Priority on Prosecuting Individuals in Corporate Criminal...

On November 16, 2015, the U.S. Department of Justice revised the United States Attorneys’ Manual (USAM) to align the principles by which federal government prosecutors investigate and prosecute criminal cases involving...more

New UK Regime to Strengthen Senior Management Accountability

On 7 March 2016, two new regulatory regimes governing the accountability of senior managers will take effect—the Senior Managers and Certification Regime will cover the banking sector, and the Senior Insurance Managers Regime...more

3 Major Mistakes Companies Make When Being Investigated: The SEC’s Steven Cohen on Do's and Don'ts During an Investigation

On Thursday, October 29th, a call was hosted by the Society of Corporate Compliance and Ethics (SCCE) with Steven Cohen, Associate Director of the Securities and Exchange Committee (SEC). For over an hour, Mr. Cohen spoke...more

HIPAA Lessons from the Warner Chilcott Settlement

Last week, the US Attorney’s Office in Boston announced that drug company Warner Chilcott agreed to plead guilty to health care fraud and pay $125 million to resolve criminal and civil liability arising out of allegations...more

Retail and Consumer Products Law Roundup - November 2015

We are pleased to share with you the first issue of Manatt's Retail and Consumer Products Law Roundup. The newsletter will be published on a monthly basis and will survey topics of critical importance to the retail,...more

Tackling Corruption – Now A Truly Global Initiative?

There continues to be a global drive towards greater transparency and accountability in business. There are a number of factors at play here. ...more

Yates Memo Discussed at Pharmaceutical Compliance Congress

As readers of Health Law and Policy Matters know, we have covered recent developments in the Department of Justice’s (DOJ’s) commitment to prosecuting individuals involved in corporate misconduct. A flurry of activity on...more

Focus on China - October 2015

Welcome to the third issue of Focus on China Compliance for 2015. According to the FCPA Blog’s October 2015 Corporate Investigations List, China leads the countries reported to be involved in FCPA investigations with 29...more

Principal Deputy Assistant Attorney General Mizer Sheds Additional Light on Individual Accountability and the Yates Memo

On October 22, 2015, the U.S. Department of Justice Principal Deputy Assistant Attorney General Benjamin C. Mizer, who oversees DOJ’s Civil Division, spoke at the 16th Pharmaceutical Compliance Congress and Best Practices...more

A Holistic Approach to Third-Party Risk & Due Diligence

The following interview is with Leas Bachatene, CEO at ethiXbase. Hi Leas, thank you for participating in today’s Q and A. I have really enjoyed working with the ethiXbase team, including on our recent White Paper and...more

Corporate Investigations & White Collar Defense - October 2015

"Wherefore Art Thou Due Process?" Part III - Why it matters: It is time for another installment in our continuing "Wherefore Art Thou Due Process?" coverage into the ongoing constitutional challenges to the SEC's...more

How to Be Heard: 5 Ways Compliance Officers Can Get Noticed by the Board, Other Executives, and Their Own Team

Even in today’s high-paced environment, compliance departments are too often viewed as a necessity somewhere along the lines of an insurance policy. You have to have one, sure, but the details don’t really matter all that...more

Beware the Feds: Emerging Risks to Health Care Executives Under the Yates Memo

Last month’s “Yates Memo” from the Department of Justice (DOJ) promises to be a game-changer in the world of government investigations and enforcement activity. While several U.S. Attorney Offices had been applying many of...more

All In: Information Readiness in the Wake of VW and the Yates Memo

I’m not much of a gambler, so I steered clear of the tables and slots at SCCE’s Annual Compliance and Ethics Institute in Vegas last week. That said, I really think if I’d have made a dollar for every time I heard the words...more

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