The Securities and Exchange Commission (SEC) has recently focused on “rooting out” the misuse of artificial intelligence (AI) by publicly traded companies and brokerage firms.
On February 20, 2025, the SEC established the...more
The following summarizes our team’s monitoring of key developments in anti-corruption enforcement during 2022 and what that may mean going forward in this new year:.....more
While companies increase focus on external risks by enhancing regulatory compliance, anti-corruption policies, and cybersecurity, they must not lose sight of internal risks, including internal fraud and embezzlement....more
9/13/2022
/ Anti-Corruption ,
Embezzlement ,
Employment Policies ,
Enforcement ,
Fraud ,
Job Duties ,
Labor Relations ,
Policies and Procedures ,
Remote Working ,
Suspicious Activities ,
White Collar Crimes
The Commodity Futures Trading Commission (“CFTC”) recently announced the settlement of its first enforcement action involving foreign corruption. In December 2020, the CFTC issued a Consent Order, finding that Houston-based...more
4/1/2021
/ Bribery ,
CFTC ,
Civil Monetary Penalty ,
Consent Order ,
Corruption ,
Department of Justice (DOJ) ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Insider Trading ,
Kickbacks ,
Oil & Gas ,
Willful Misconduct