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Foreign Corrupt Practices Act (FCPA) Compliance Financial Services Industry

Thomas Fox - Compliance Evangelist

Upping Your Game: Episode 1 – Meeting Hui Chen’s Challenge

In February, the Trump Administration suspended investigations under and enforcement of the FCPA. Many compliance professionals have since wondered what this will mean for corporate compliance programs going forward. Hui Chen...more

Thomas Fox - Compliance Evangelist

10 For 10: Top Compliance Stories For the Week Ending March 15, 2025

Welcome to 10 For 10, the podcast that brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance, brings to you the compliance professional and the compliance stories you need...more

American Conference Institute (ACI)

[Event] Summit on Anti-Corruption & Compliance Programs - March 22nd - 23rd, Mexico City, Mexico

Hosted by American Conference Institute, the Mexico Summit on Anti-Corruption & Compliance Programs returns for another exciting year with curated programming that shines a global spotlight on anti-corruption compliance...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Compliance Solutions Across Industries - June 9th, 8:55 am - 4:30 pm CDT

Compliance Solutions Across Industries - Are you looking to: - Create a stronger compliance program for your organization? - Explore key takeaways from recent international and domestic enforcement actions? -...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

Hanzo

Hanzo's 2018 FINRA AND SEC Regulatory Compliance Year in Review

Hanzo on

From Elon Musk’s tweets to Floyd Mayweather and DJ Khaled’s promotion of cryptocurrencies, 2018 was, to say the least, an interesting year in regulatory enforcement news. Even if all you do is win, win, win, no matter what,...more

The Volkov Law Group

Lawyers and Culture in the Financial Services Industry

The Volkov Law Group on

The rise of the compliance profession has had a number of positive impacts on the corporate governance landscape. One of the most important results has been increased focus on corporate culture....more

Thomas Fox - Compliance Evangelist

Will Blockchain Transform Compliance?

I recently read an article in the MIT Sloan Management Review, entitled “How Blockchain Will Change Organizations”, where authors Don Tapscott and Alex Tapscott speculate that the transformations which blockchain may...more

Morrison & Foerster LLP

Top Ten International Anti-Corruption Developments for November 2016

Morrison & Foerster LLP on

In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international anti-corruption developments from the past month, with links to primary...more

Thomas Fox - Compliance Evangelist

Up Close and Personal: Individual CCO Liability – Part II

Yesterday I began an exploration of the potential individual liability of a Chief Compliance Officer (CCO) based upon the Financial Industry Regulatory Authority (FINRA) enforcement action against Raymond James Inc. and its...more

Thomas Fox - Compliance Evangelist

Up Close and Personal: Individual CCO Liability – Part I

A horse is a horse, of course, of course, and no one can talk to a horse, of course. That is, of course, unless the horse is the famous Mister Ed. Those lines were the opening verse to the theme song of the TV...more

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