News & Analysis as of

Enforcement Compliance Corporate Counsel

U.S. Department of Justice Adopts New FCPA Corporate Enforcement Policy to Enhance FCPA Pilot Program

When a company learns that an employee or third-party business partner may have bribed a foreign official, it is never an easy question as to whether the company should turn itself in to the U.S. government. On November 29,...more

China Employment Law Alert: Chinese Employers Now Subject to New Grading System

by Seyfarth Shaw LLP on

The Chinese Ministry of Human Resources and Social Security (MHRSS) has launched a new nationwide grading system to evaluate employers’ employment law compliance. This system has been put in place via the Measures for the...more

2016 Mid-Year Global Cartel Enforcement Report

by Morgan Lewis on

Cartel enforcement activity promises to remain busy In the coming months and into 2017 Cartel enforcement remains a priority for competition authorities around the world. Global cartel fines totaled more than $6...more

DOJ: Companies Need Not Expend Exorbitant Fees to Get Full Cooperation Credit

by Morgan Lewis on

During an FCPA panel event, the Chief of the US Department of Justice’s Fraud Section advised companies to conduct “targeted” FCPA investigations, dismissing the suggestion that companies must spend hundreds of millions of...more

[Webinar] Benchmarking Your Policy Management Program - May 21, 10:00am PT / 1:00pm ET

by NAVEX Global on

Join this free webinar to hear compelling survey results and answers to questions such as: What are organizations doing to address policy management today? What are E&C leaders’ top policy management...more

Self-reporting, Extensive Cooperation Yields Reduced Fine In SEC FCPA Action

by Dorsey & Whitney LLP on

Layne Christensen, a global water management, construction and drilling company resolved FCPA bribery and books and records and internal controls charges with the SEC. In the Matter of Layne Christensen Company, Adm. Proc....more

In Case You Missed It - Interesting Items for Corporate Counsel

by Stoel Rives LLP on

The SEC reminded everyone that, yes, it cares whether you timely file your Section 16 reports, by announcing enforcement actions against 28 Section 16 filers and six public companies here. Some tie the unprecedented...more

SEC Request For O&D Bar Denied

by Dorsey & Whitney LLP on

A frequently used remedy in Commission enforcement actions is the officer and director bar. A permanent bar has the very harsh effect of precluding the person from being an officer or director of any public company. That, of...more

Land of Confusion: Insurance Coverage for Pre-Suit FCPA Investigation Costs under D&O liability Policies

Bloomberg recently reported that Walmart spent $439 Million in the past two years related to a Foreign Corrupt Practices Act (“FCPA”) investigation . Moreover, Walmart predicts that it will spend an additional $200 Million to...more

FCPA Compliance and Ethics Report-Episode 64-Managing the Third Party Relationship Under the FCPA, Part II

by Thomas Fox on

In this episode I continue my review of the five steps of managing third parties under the FCPA. In this part II, I discuss steps 3-5....more

Three Practical Steps to Managing FCPA & Anti-Corruption Risks

by Latham & Watkins LLP on

Foreign Corrupt Practices Act (FCPA) enforcement continues to be a priority for the United States Department of Justice (DOJ) and Securities and Exchange Commission (SEC). In recent years, U.S. authorities have aggressively...more

Nolan Ryan’s First No-Hitter And Checking In On The FCPA Professor

by Thomas Fox on

As the Houston Astros continue their journey into complete non-relevance, both to myself and the greater southeast Texas TV watching audience, today we celebrate one of the Astros greatest players, Nolan Ryan. On this day, 41...more

Working With Third Parties In The Due Diligence Process

by Thomas Fox on

On this day we celebrate the 1607 founding of the English colony at Jamestown. While credited with being the first English colony in what became America, it’s probably more accurate to refer to it as the first permanent...more

Nursery Rhymes, A Chinese Proverb, The HP FCPA Enforcement And The Myth Of The Rogue Employee

by Thomas Fox on

As my friend and colleague Jay Rosen is want to remind us, he continually learns much about compliance and ethics from his Kindergarten-aged daughters. I submit that you need only look to children’s nursery rhymes in the...more

Tales From The Crypt - Rule No. 7 - Actions Speak Louder Than Words

by Thomas Fox on

Ed. Note-I inadvertently ran Tale From The Crypt, Rule No. 8 out of order, so today we present Rule No. 7, which reminds us that Mom was right, actions do speak louder than words... This Tale from our Crypt reminds us...more

For FCPA Compliance, Tone At The Top Key, Lack of Policies A Difficulty

by Dorsey & Whitney LLP on

The number of FCPA enforcement actions brought in recent years has declined. The SEC, for example, reports that in fiscal 2013 it brought 8 cases, compared to 10 in 2012 and 15 in 2011. Nevertheless, those who might be...more

2013 Year-End Securities Litigation and Enforcement Highlights

by BakerHostetler on

We are pleased to share with you the 2013 Year-End Highlights Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team, a periodic survey, in addition to our Executive Alerts, which...more

Financial Reporting & Accounting Enforcement Annual Review - 2013

by Morrison & Foerster LLP on

In This Issue: Introduction; Redesigning the SEC’s Division of Enforcement, Again; Focus Areas: What’s Next; Overview of 2013 Cases; Public Company, Officer, and Director Trends; Audit Firm and Auditor Trends; Rule...more

The Compliance Crystal Ball—Top 10 Compliance Trends For 2014

by Perkins Coie on

It is that time of year again when we dust off the compliance crystal ball and take a look at what might be in store for 2014. 1. Executive Order 13627 Changes Government Contracting - Want a government contract...more

DOJ and SEC Officials Outline Considerations for Companies’ Internal Investigations

Companies all over the globe are increasingly aware of the record number of corporate criminal enforcement actions brought in recent years by enforcement authorities to combat corruption, and many companies now are also...more

Good Governance for General Counsel: What Your Board Needs to Know Now

by Baker Donelson on

A host of regulatory and finance reforms have ushered in significant changes for health care entities, and likewise, for the boards that guide them. How can general counsel broach these changes with their boards and steer...more

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