News & Analysis as of

Penalties Chief Compliance Officers

Society of Corporate Compliance and Ethics...

How a code of conduct reflects culture and meets DOJ requirements

Every compliance program begins with a code of conduct. The code of conduct expresses a company’s fundamental values and its commitment to living by them. Although a code of conduct is usually a very high-level document, it...more

Trusaic

[Workshop] Expert ACA Compliance Outsourcing for UKG Enterprise - March 14th, 11:00 am - 11:30 am PDT

Trusaic on

Discover a new approach to optimizing ACA compliance for UKG Enterprise clients in this expert workshop led by Anuj Mongia. This session introduces innovative strategies to reshape your ACA compliance process. Gain...more

McDermott Will & Emery

[Webinar] 2023 Enforcement Outlook Series: Protecting Your Business Against Non-Compliance and DOJ Penalties - March 23rd, 12:00...

McDermott Will & Emery on

During speeches earlier this month, Deputy Attorney General Lisa Monaco and Assistant Attorney General for the Criminal Division Kenneth A. Polite, Jr. announced significant changes to the way DOJ evaluates corporate...more

Foley & Lardner LLP

Compliance Officers Lookout! DOJ and OIG Tag Team Corporate Integrity Agreements

Foley & Lardner LLP on

The Office of Inspector General of the U.S. Department of the Health and Human Services (OIG) recently changed the language describing a compliance officer’s role in relation to other responsibilities he or she may have...more

Jackson Lewis P.C.

Proposal to Quadruple OSHA Fines Appears to be Off the Table Despite Support from Some Lawmakers

Jackson Lewis P.C. on

Employers can breathe a sigh of relief for now as it appears that Senate Democrats are no longer pursuing a massive increase to OSHA’s penalties for safety violations. Currently, the maximum fine OSHA can assess against an...more

HaystackID

[Webinar] CFIUS Compliance: Your Organization’s Growth and Investment Strategy May Be a Matter of National Security - July 27th,...

HaystackID on

The Committee on Foreign Investment in the United States (CFIUS) is a U.S. government interagency committee with the responsibility to review foreign investments in U.S. businesses and real estate transactions for national...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more

The Volkov Law Group

The Purpose of Compliance: Promoting a Positive, Not Preventing a Negative

The Volkov Law Group on

One thing about maintaining a blog – you have nightmares (alright something a little less than that) about consistency in writing. All of us can be accused of having “evolving” positions, so maybe that is my rationalization....more

K&L Gates LLP

The Burden of Corporate Probation May Follow an Antitrust Conviction

K&L Gates LLP on

The Antitrust Division of the Department of Justice (the “Division”) has announced a major policy shift. When a company has been convicted for a criminal antitrust offense, the Division may seek to impose the significant...more

NAVEX

SAC Insider Trading Case May Hit Closer to Home than You Think

NAVEX on

This week’s announcement that SAC Capital Advisors will pay a record-breaking penalty of $1.8 billion (USD) for insider trading violations may not have been a surprise to anyone following the case - after all, the hedge...more

Broker-Dealer Compliance + Regulation

SEC Targets More Firms for Custody Rule Violations

On October 28, 2013, the SEC sanctioned three registered investment advisers for, among other things, violating Rule 206(4)-2 under the Advisers Act (the “Custody Rule”). These settled actions, the subject of a special SEC...more

Thomas Fox - Compliance Evangelist

Lessons Learned from the Parker Drilling DPA and Ralph Lauren NPA

In the two most recent corporate Foreign Corrupt Practices Act (FCPA) enforcement actions, the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) to communicate not only what they believe constitutes a...more

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