News & Analysis as of

Office of Foreign Assets Control (OFAC) Ethics

Society of Corporate Compliance and Ethics...

Is your reporting system worth $1 million?

Answering the question of how much money a compliance and ethics program saves an organization when there’s been a violation is often a very difficult task, which presents a challenge in defending the investment in a program....more

Guidepost Solutions LLC

Emerging Expectations from the Latest Enforcement Actions Over Off-Channel Communications

Since December 2021, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) have levied almost $3.0 billion in penalties for longstanding failures by 39 broker-dealers, swap dealers,...more

The Volkov Law Group

Wells Fargo Fumbles Sanctions Compliance Demonstrating An Absence of Culture of Compliance (Part II of II)

The Volkov Law Group on

Not that I am a glutton for punishment, but I always find enforcement actions to supply a number of valuable lessons learned. There are always instructive nuggets of information, opportunities missed, and root causes that...more

Foley & Lardner LLP

Top Legal Issues Facing the Manufacturing Sector in 2022

Foley & Lardner LLP on

As the global economy faces the third year of the pandemic, manufacturers are no longer focused on figuring out when things will return to “normal.” Instead, they are applying lessons learned from the past few years to become...more

The Volkov Law Group

The Urgency of Ethics and Compliance – The Biden Administration and Enforcement

The Volkov Law Group on

The Biden Administration has a lot on its plate – that is obvious.  Tackling the COVID-19 pandemic and restoring economic growth is one of the most difficult challenges ever facing our country....more

Society of Corporate Compliance and Ethics...

[Virtual Event] 19th Annual Compliance & Ethics Institute - September 14th - 16th, 9:00 am - 5:00 pm CST

Due to continuous developments with the Coronavirus (COVID-19) and the safety and health concerns of our attendees, speakers, vendors and staff, we are converting the 2020 Compliance & Ethics Institute into an online virtual...more

The Volkov Law Group

Ethics and Compliance Trends and Predictions for 2020

The Volkov Law Group on

2019 was a big year for ethics and compliance.  In fact, it is easy to argue that since the adoption of the compliance provisions in the US Sentencing Guidelines in 1991, compliance had its biggest year....more

Thomas Fox - Compliance Evangelist

Four Compliance Insights for 2020 and Beyond

Compliance Convergence. In 2019 there were three significant releases of information by the federal government which directly impacted compliance professionals. Two came from the Department of Justice (DOJ) and one came from...more

The Volkov Law Group

Conducting a Sanctions Risk Assessment: A New Era for Analyzing Your Risks (Part II of IV)

The Volkov Law Group on

OFAC’s new framework guidance for sanctions compliance programs stretched into new territory with its risk assessment requirement.  This new approach reflects OFAC’s recent aggressive enforcement programs....more

The Volkov Law Group

Putting Together Your Sanctions Compliance Program: Management Commitment (Part I of IV)

The Volkov Law Group on

If you follow my blog, you know I am not one to embrace hyperbole.  So, forgive me for stretching a little here, but the OFAC Framework for Sanctions Compliance Programs is a game changer.  Let me explain why I am saying...more

NAVEX

According to the DOJ & OFAC, Compliance Functions Should Actually Work, not Just Exist

NAVEX on

Look around, corporate ethics and compliance officers. We’re suddenly peppered with new signals from the regulatory world about the importance of a strong, empowered compliance function. We see that most obviously in the...more

The Volkov Law Group

Sifting Through The Ukraine Economic Sanctions

The Volkov Law Group on

It is odd how a foreign crisis can have a dramatic impact on the world of ethics and compliance. Foreign policy headaches turn into compliance nightmares when the United States becomes embroiled in foreign events....more

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