Whistleblower awards from regulatory agencies seldom make news in corporate compliance circles anymore, but two recent items from the world of whistleblower awards do deserve compliance officers’ attention. They’re a reminder...more
8/9/2024
/ Compliance ,
Corporate Misconduct ,
Department of Justice (DOJ) ,
Internal Reporting ,
IRS ,
Regulatory Agencies ,
Securities and Exchange Commission (SEC) ,
Self-Disclosure Requirements ,
Voluntary Disclosure ,
Whistleblower Awards ,
Whistleblowers
At the end of June, the U.S. Supreme Court issued major decisions on the enforcement power of the Securities and Exchange Commission, what does or doesn’t qualify as a bribe of government officials, and on federal judges’...more
7/3/2024
/ Anti-Corruption ,
Anti-Kickback Statute ,
Bribery ,
Chevron Deference ,
Civil Monetary Penalty ,
Compliance ,
Corporate Misconduct ,
Corruption ,
Department of Justice (DOJ) ,
Enforcement ,
Foreign Corrupt Practices Act (FCPA) ,
Government Agencies ,
Loper Bright Enterprises v Raimondo ,
SCOTUS ,
SEC v Jarkesy ,
Securities and Exchange Commission (SEC) ,
Snyder v United States
Attention all compliance officers at large technology companies – have you checked your mail lately? Because you might find a letter from the Securities and Exchange Commission with FCPA risk written all over it....more
5/29/2024
/ Anti-Corruption ,
Compliance ,
Contract Management ,
Corruption ,
Distributors ,
Due Diligence ,
Enforcement ,
Foreign Corrupt Practices Act (FCPA) ,
Recordkeeping Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Settlement ,
Technology Sector ,
Third-Party
The U.S. Federal Trade Commission sent shockwaves through the corporate world in April when the agency imposed a ban on noncompete agreements – and like any good shockwave, this new rule will reverberate through the ethics...more
The U.S. Securities and Exchange Commission recently announced that its long-awaited greenhouse gas disclosure rule will be delayed yet again, most likely until April 2024. This raises an important question for compliance and...more
12/29/2023
/ Audits ,
Climate Change ,
Compliance ,
Data Collection ,
Environmental Social & Governance (ESG) ,
Greenhouse Gas Emissions ,
Proposed Rules ,
Reporting Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Supply Chain ,
Third-Party
Compliance and technology executives, we need to talk. Or, more accurately, you need to talk more often – to each other.
In the last 18 months, the Securities and Exchange Commission sanctioned three companies for making...more