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Fraud, the silent epidemic
10 For 10: Top Compliance Stories For the Week Ending, May 3, 2025
2 Gurus Talk Compliance: Episode 51 – The Compliance Week at 20 Edition
The Next FCRA Frontier: Identity Theft and CFPB Updates — FCRA Focus Podcast
Daily Compliance News: April 29, 2025, The GenZ/RTO Edition
Adventures in Compliance: The Novels – A Study in Scarlet, Introduction to Compliance Lessons
Unlocking the Secrets of Reverse Mortgages — The Consumer Finance Podcast
False Claims Act Insights - DOJ’s Reliance on FCA to Pursue Covid-Related Fraud
10 For 10: Top Compliance Stories For the Week Ending April 12, 2025
Elder Financial Exploitation
Daily Compliance News: April 7, 2025, The Whistleblowers Awarded Edition
An Ounce of Prevention Podcast | Preparing for the UK Failure to Prevent Fraud Offence
Sunday Book Review: March 23, 2025, The Hard-Boiled Edition
10 For 10: Top Compliance Stories For The Week Ending, March 22, 2025
Daily Compliance News: March 14, 2025, The $200 Transaction Edition
PilieroMazza Annual Review: What DOJ’s 2024 FCA Report Means for Government Contractors
Episode 354 -- The New Era of Compliance: Generative AI, Data and Innovation
12 Days of Regulatory Insights: Day 4 - A Focus on the FCA – Regulatory Oversight Podcast
Corruption, Crime & Compliance: Raytheon Pays $950 Million to Resolve Fraud, FCPA, ITAR and False Claims Act Violations
The SEC’s recent order instituting administrative and cease-and-desist proceedings (OIP) against registered investment advisers Two Sigma Investments LP and Two Sigma Advisers LP illustrates significant risks for investment...more
Who may be interested: Investment Advisers, Compliance Staff, Registered Investment Companies - Quick Take: The SEC recently announced settled charges against a registered investment adviser for overvaluing approximately...more
On October 2, 2024, the Commodity Futures Trading Commission (CFTC), the US Department of Justice (DOJ), and the Securities and Exchange Commission (SEC) announced parallel prosecutions charging a carbon credit project...more
Welcome to Wiley’s update on recent developments and what’s next in consumer protection at the Consumer Financial Protection Bureau (CFPB) and Federal Trade Commission (FTC). In this newsletter, we analyze recent regulatory...more
On April 13, 2022, the Texas State Securities Board and Alabama Securities Commission issued separate emergency cease and desist orders (C&Ds) against Sand Vegas Casino Club and its two co-founders (Respondents). The C&Ds...more
Designed for busy in-house counsel, compliance professionals, and anti-corruption lawyers, this newsletter summarizes some of the most important international anti-corruption developments from the past month, with links to...more
I did not think that the Wells Fargo fraudulent accounts scandal could get worse for the bank. Boy was I wrong. Last week, in a Press Release, the Department of Justice (DOJ) announced a that Wells Fargo & Company and its...more
I thought Frosty was a good analogy to consider the disgraced Goldman Sachs Group Inc.’s former partner Tim Leissner, as he is certainly back again. Yesterday, I begin a two-part blog post series on Leissner’s settlement with...more
Those bemoaning the lack of Foreign Corrupt Practices Act (FCPA) enforcement activity can cease. With the Dun & Bradstreet Inc. (D&B) declination last week and this week’s enforcement action involving Panasonic Avionics...more
On Monday, the Securities and Exchange Commission (SEC) announced it had obtained a court order suspending AriseBank’s (Arise) initial coin offering (ICO) whose public sale began in late December. According to the SEC, Arise...more
Today I conclude my two-part series on the recent Foreign Corrupt Practices Act (FCPA) enforcement action involving the Chilean chemicals and mining company Sociedad Química y Minera de Chile (SQM), which agreed to pay a...more
Let’s look back at a cavalcade of crooks, criminals and miscreants who met up with justice in 2016. We do it to be reminded of the others who will be lurking in the 2017 shadows....more
In two previous posts, on April 19, 2016 and June 21, 2016, we reported on the EquityComp workers’ compensation program offered by Berkshire Hathaway subsidiaries Applied Underwriters (Applied) and California Insurance...more
The SEC continues to expand the scope of responsibilities and standards applicable to gatekeepers. In an application of the Investment Advisers Act of 1940 (Advisers Act) to the actions of a nonadviser fund service...more
Financial fraud has long been a staple of SEC enforcement. In the wake of the market crisis the agency has attempted to once again focus on the area creating, for example, a financial fraud task force two years ago. Last...more
Appellate Court Advance Release Opinions: AC38454 - In re Daniel N. AC36701 - State v. Adams - AC36701 Dissent - State v. Adams - AC37362 - Deutsche Bank National Trust Co. v. Thompson - ...more
Yesterday I began a (now) three-part series on the Foreign Corrupt Practices Act (FCPA) enforcement actions involving PTC Inc. (PTC), Parametric Technology (Shanghai) Software Co. Ltd. and Parametric Technology (Hong Kong)...more
One of the key products of Monsanto Company is weed killer Roundup, sold to retailers and distributors but not directly to growers. After the product came off patent generics began to erode its profits. ...more
The SEC’s apparent preference for administrative proceedings as a venue for its enforcement actions continues to draw criticism. H.R. 3798 is now pending in the House of Representatives. The bill is tilted the “Due Process...more
The SEC prevailed on two summary judgment motions. One centered on a manipulation action. The other was against an attorney who facilitated a prime bank fraud. The Commission also filed: An action against UBS tied to its...more
When the bond market collapsed in Puerto Rico many clients at UBS Financial Services Incorporated of Puerto Rico had significant losses. Many had purchased shares of UBS PR closed-end funds or CEFs. UBSPR had been selling...more
Financial fraud actions have traditionally been a staple of SEC Enforcement. During the market crisis, however, the number of those cases waned. Following the formation of a task force focused on financial statement fraud,...more
The SEC has long sought to enlist professionals as the advance guard of its Enforcement Division. The point is understandable: auditors, attorneys and other professional consultants are typically at the company long before...more
In the wake of the market crisis and the formation of a task force, the SEC has sought to focus in part on financial fraud actions. The action filed at the close of last week against Computer Sciences Corporation and seven of...more