News & Analysis as of

Foreign Corrupt Practices Act (FCPA) Barclays

Thomas Fox - Compliance Evangelist

Top SEC Enforcement Actions from 2019

Yesterday, I considered five Department of Justice (DOJ) Foreign Corrupt Practices Act (FCPA) enforcement actions. Today, I want to look at key FCPA enforcement actions by the Securities and Exchange Commission (SEC)....more

Thomas Fox - Compliance Evangelist

Barclays – Back to the Basics

This week I am considering the recent spate of Foreign Corrupt Practices Act (FCPA) enforcement actions brought by the Securities and Exchange Commission (SEC) at the close of its fiscal year. Last week saw several...more

The Volkov Law Group

Barclays Agrees to Pay the SEC $6.3 Million to Settle FCPA Offenses for Hiring of Relatives of Foreign Officials in Asia

The Volkov Law Group on

Barclays joined the club of global financial institutions settling FCPA violations for hiring of relatives of foreign officials in Asia.  Barclays agreed to disgorge $3.8 million and paid prejudgment interest of nearly $1...more

Thomas Fox - Compliance Evangelist

Year End (FCPA) Closeouts: Quad/Graphics, Barclays and Westport Fuel Systems

The US government fiscal year ends today. Just as in the business world, where many companies try and clear out any unexecuted deals or open contracts, we saw the Securities and Exchange Commission (SEC) clear out three...more

Robins Kaplan LLP

Financial Daily Dose 7.29.2019 | Top Story: Pfizer and Mylan Join Forces to Create Generics Powerhouse

Robins Kaplan LLP on

Drug giants Pfizer and Mylan have inked a deal that will merge the former’s off-patent drugs with the latter’s generics business, a tie-up that creates a mammoth global seller of lower-priced medicines....more

Dorsey & Whitney LLP

Dorsey Anti-Corruption Digest - March 2018

Dorsey & Whitney LLP on

Keeping ahead of global anti-corruption trends is critical in today’s business markets. The Dorsey Anti-Corruption Digest, which puts global trends at your fingertips, puts you ahead. The deep experience of the Dorsey...more

Thomas Fox - Compliance Evangelist

This Week in FCPA-Episode 58, the Declination Edition

After last week’s guest announcers, Jay and I return for a wide-ranging discussion on some of the week’s top compliance related stories, including: 1. The first Declination of the Session’s Justice Department, Linde gas. ...more

Thomas Fox - Compliance Evangelist

Sgt. Peppers at 50: She’s Leaving Home and Barclays Bank

It has unquestionably been a difficult year for Barclays. Whether any of its former executives will face any jail time for their actions back in the 2008 financial crisis is an open question. As for current bank chief Staley,...more

Akin Gump Strauss Hauer & Feld LLP

Red Notice Newsletter - February 2016

DOJ and SEC Announce Settlement with PTC, Inc. in FCPA Case Involving SEC’s First Individual Deferred Prosecution Agreement - On February 16, 2016, the U.S. Securities and Exchange Commission (SEC) and the U.S....more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

The Commission filed another group of settled actions under its initiative regarding municipal bond underwriters. This time a group of fourteen actions were filed. Each centered largely on claims that the underwriter failed...more

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