Under Securities and Exchange Commission (“SEC”) authorization, the Financial Industry Regulatory Authority (“FINRA”) is “responsible for regulating (1) all securities firms that do business with the public[,]” (2) key stock...more
4/25/2016
/ Anti-Money Laundering ,
Bank Secrecy Act ,
Broker-Dealer ,
Compliance ,
Corporate Culture ,
Enforcement Actions ,
Examination Priorities ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Risk Management ,
Securities and Exchange Commission (SEC)
One of the factors that the U.S. Department of Justice (DOJ) considers in deciding whether to bring charges against a corporation is the existence and effectiveness of the corporation’s pre-existing compliance program. On...more
11/5/2015
/ Anti-Bribery ,
Anti-Corruption ,
Banking Sector ,
Banks ,
Bribery ,
Compliance ,
Corporate Counsel ,
Corporate Fraud ,
Corruption ,
Department of Justice (DOJ) ,
Financial Institutions ,
Government Investigations ,
White Collar Crimes