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Compliance Corporate Investigations

Compliance programs typically refer to formalized institutional procedures within corporations and organizations to detect, prevent and respond to indvidual and widespread instances of regulatory violations. ... more +
Compliance programs typically refer to formalized institutional procedures within corporations and organizations to detect, prevent and respond to indvidual and widespread instances of regulatory violations.  In response to many corporate scandals evidencing rampant unethical business practices, many nations, including the United States, began passing strict regulatory frameworks aimed at curbing these abuses. Notable pieces of legislation in this area include the U.S. Foreign Corrupt Practices Act (FCPA), Sarbanes-Oxley (SOX), and the U.K. Bribery Act, to name a few. The foregoing statutes and the severe penalties often associated with them form the basis of many modern institutional compliance programs. less -
Katten Muchin Rosenman LLP

DOJ Signals Increased Use of Corporate Monitors

On October 28, 2021, Deputy Attorney General Lisa Monaco announced revised Department of Justice (DOJ) guidance on corporate monitors. Going forward, prosecutors are free to require the imposition of a corporate monitor when...more

White & Case LLP

More Aggressive White Collar Enforcement Expected Under the Biden Administration

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The first 100 days of President Biden's administration, not least its appointments to key leadership positions, suggest that it will investigate and pursue white collar cases much more aggressively than the Trump...more

Lighthouse

Speed to Knowledge: Critical in White Collar Cases.

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With the impact of COVID-19 increasing the likelihood of white collar crime, corporate vigilance and a quick response can mitigate downside consequences.   There has been a notable uptick in white collar matters the past...more

Proskauer - The Capital Commitment

Return to Civil and Criminal Collaboration in White Collar under Biden Administration

Under the Biden Administration, we expect the Department of Justice to reinvigorate the policies aimed at increasing coordination between the criminal and civil divisions. In a 2015 Memorandum – the “Yates Memo” – former...more

WilmerHale

Global Anti-Bribery Year-in-Review: 2020 Developments and Predictions for 2021

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As was true in many areas of the law, Foreign Corrupt Practices Act (FCPA) enforcement in 2020 - and anti-corruption enforcement more generally - was affected by the COVID-19 pandemic, but perhaps not as much as was initially...more

Oberheiden P.C.

Corporate Intelligence & Investigations

Oberheiden P.C. on

Today’s modern world enables complex business transactions to occur both within the United States as well as abroad in cross-border activities. Many of these transactions pose significant risks to business operations and the...more

Jones Day

2020 Cross-Border Corporate Criminal Liability Survey

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International businesses operate in an environment in which there is an expansion of corporate criminal liability and a trend toward imposing greater demands on corporate compliance and self-governance. Resolutions of...more

Society of Corporate Compliance and Ethics...

Compliance Perspectives: Compliance Challenges in India

It’s a very busy time for compliance professionals overseeing businesses operating in India, reports Arpinder Singh, India & Emerging Markets Leader at EY Forensic & Integrity Services. There are a dizzying number of new...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Remote Workforce Compliance Conference - December 8th, 8:55 am - 2:00 pm CST

Navigate the Compliance and Ethics challenges of a Remote Workforce - This half-day online and interactive conference will provide you with the insights you need to manage your compliance program in a remote working...more

Vinson & Elkins LLP

Little “New” in SFO’s New Guidance on Compliance Programs

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On January 17, 2020, the United Kingdom’s Serious Fraud Office (“SFO”) published new guidance regarding how the office assesses the compliance programs of organizations that are under investigation. “Evaluating a Compliance...more

Skadden, Arps, Slate, Meagher & Flom LLP

Ericsson Agrees To Pay Over USD $1 Billion To Settle FCPA Charges

On December 6, 2019, Telefonaktiebolaget LM Ericsson (Ericsson or the Company), resolved long-running investigations by the U.S. Department of Justice (DOJ) and the U.S. Securities and Exchange Commission (SEC) into the...more

King & Spalding

Q3 2019: Latin America Enforcement Review

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Enforcement authorities throughout the United States and the Americas continue to aggressively investigate fraud and corruption across the region in the third quarter of 2019. Below, we highlight some recent developments and...more

Thomas Fox - Compliance Evangelist

TechnipFMC FCPA Enforcement Action - Lessons for the Compliance Professional

The month of June, 2019, closed out one of the most interesting half-years in the Foreign Corrupt Practices Act (FCPA) realm....more

Eversheds Sutherland (US) LLP

Regulators’ approach to enforcement – an international comparison

On July 9, 2019, the United Kingdom’s Financial Conduct Authority (FCA) published its latest Enforcement annual performance report for the year 2018/19. This follows the publication of its final FCA Mission: Approach to...more

WilmerHale

Foreign Corrupt Practices Act Alert: Global Anti-Bribery Year-in-Review: 2018 Developments and Predictions for 2019

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Despite predictions of a slow-down in enforcement under the Trump administration—and indications that enforcement in some areas has decreased in the past year1—2018 was yet again an active year for FCPA enforcement. The year...more

Thomas Fox - Compliance Evangelist

FCPA Compliance Report-Episode 350, Linda Justice and Her Nancy Drew Approach

Linda Justice brings Nancy Drew to your side to fill all those knowledge gaps in your pursuit of clients. Using her technical background in corporate investigations, she brings experience to business development, strategic...more

Thomas Fox - Compliance Evangelist

Day 16 of One Month to More Effective Continuous Improvement-Voluntary Monitoring

There are multiple areas in the Department of Justice’s Evaluation of Corporate Compliance Programs which intersect with the area of continuous improvement. In addition to Prong 9. Continuous Improvement, Periodic Testing and...more

WilmerHale

[Webinar] Yates Memo Update—Individual Accountability and Best Practices for Executives: WilmerHale Financial Institutions Webinar...

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Join WilmerHale for the kickoff session of the 2016 Financial Institutions Webinar Series, where attorneys will explore recent developments and legal issues affecting financial institutions and providers of financial...more

Thomas Fox - Compliance Evangelist

Dolph Schayes and the Yates Memo: both Key Transitions

Dolph Schayes died on Wednesday. He was a true original and a true pioneer in the field of basketball. He grew up in Brooklyn, played college ball at New York University then played 15 seasons as a professional in the...more

The Volkov Law Group

DOJ’s Compliance Counsel & Compliance Expectations

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The Justice Department’s hiring of Hui Chen as the new Compliance Counsel is an important development in DOJ’s prosecution of corporate defendants. It is not clear yet what impact Ms. Chen will have. At a recent event at NYU,...more

Thomas Fox - Compliance Evangelist

Enron’s Continued Legacy On FCPA Enforcement

Today we acknowledge (I cannot say celebrate) one of the seminal events which led to the explosion of Foreign Corrupt Practices Act (FCPA) enforcement actions from 2004 forward. On this day in 2001 the Houston based company...more

Holland & Knight LLP

DOJ Targets Executives and Individuals in Corporate Investigations

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Responding to criticism stemming from a lack of individual prosecutions as a result of the financial crisis, Deputy Attorney General Sally Yates has issued a new guidance memorandum establishing six new steps for federal...more

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