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Sanctions Compliance Ethics

Society of Corporate Compliance and Ethics...

Giving Compliance Advice

You really should listen to this podcast. That’s my advice. If you do you’ll hear Scott Garland, Managing Director, Sanctions, Cyber, Fraud and Ethics Compliance & Monitoring at Affiliated Monitors give better advice on...more

Pillsbury Winthrop Shaw Pittman LLP

Companies Prepare for the Uyghur Forced Labor Prevention Act (UFLPA)

Will 2022 Be the Year of Supply Chain Ethics? Effective June 21, 2022, in an effort to address forced labor concerns, U.S. law will broadly prohibit imports of products from China’s Xinjiang Uyghur Autonomous Region...more

Society of Corporate Compliance and Ethics...

[Virtual Event] 9th Annual European Compliance & Ethics Institute - March 15th - 17th, 9:55 am - 6:00 pm CET

Though we are disappointed we will not be together in-person, we remain dedicated to providing a first-class learning experience while keeping the health and well being of everyone a top priority.  The ECEI will have the...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

Thomas Fox - Compliance Evangelist

This Week in FCPA-Episode 80, The Last Jedi Edition

Jay and I return for a wide-ranging discussion on some of the top compliance- and ethics-related stories of the week, including: 1. There are several FCPA 40th anniversary pieces going up these days. The FCPA Blog is looking...more

The Volkov Law Group

Commerzbank’s Compliance Catastrophe — Flouting Sanctions and BSA/AML Laws (Part II of III)

The Volkov Law Group on

Sometimes a picture is very clear but legal words and concepts are proffered in an attempt to disguise and even deceive. As set forth in the factual statements outlined by the government, and agreed to by Commerzbank, it is...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

Broker-Dealer Compliance + Regulation

Giving the CCO Teeth: SEC Sanctions Portfolio Manager for Misleading CCO

The SEC brought its first action for misleading and obstructing the work of a CCO this week, finding that a portfolio manager deliberately altered documents and misled the firm’s CCO in an attempt to hide violations of the...more

Saul Ewing LLP

The SEC’s Annual Report on the Dodd-Frank Whistleblower Program: Statistics Suggest Best Practices for an Effective Compliance and...

Saul Ewing LLP on

The Securities and Exchange Commission’s Annual Report on the Dodd-Frank Whistleblower Program, released November 2012, provides the first complete year of data on the activities of the Office of the Whistleblower (“OWB”)...more

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