News & Analysis as of September 24, 2024

Hiring & Firing › Internal Controls

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Hiring & Firing refers to the process of recruiting, interviewing and offering employment and the process of evaluating performance and dismissing employees. Hiring & Firing is a highly regulated area and can create tremendous liability for employers who fail to properly adhere to acceptable employment practices. Some of the potential pitfalls in this area stem from discriminatory hiring practices, improper performance evaluations, and retaliatory firings. less -

[Event] Interact 2022 - August 14th - 17th, Nashville, TN

Mitratech Holdings, Inc on 4/14/2022

Exclusive roadmap reveals, immersive Q&A with top product & industry experts, live product demos, electrifying presentations, co-innovation opportunities, and so much more— all coming to you live from the heart of Nashville,...more

Trade Secrets Protection: Some Common Sense and an Ounce of Prevention Is Worth a Pound of Cure

Procopio, Cory, Hargreaves & Savitch LLP on 1/19/2022

Given the dire consequences a company can face once a valuable trade secret goes out the door, corporate executives need to understand what their trade secrets are as well as how to protect them. Under the law, a trade secret...more

CA Federal Court Dismisses Whistleblower Claims After Bench Trial

Proskauer - Whistleblower Defense on 8/10/2021

On July 26, 2021, the United States District Court for the Northern District of California held, after a bench trial, that Plaintiff Botta failed to prove that Defendant PricewaterhouseCoopers LLP (“PwC”) terminated his...more

The Top 10 Workflows to Automate for 2021

Mitratech Holdings, Inc on 12/10/2020

Whether this year went too fast (or way too slow), we are somehow almost into 2021 already. There has been a lot of change within corporations and organizations, but one thing remains constant – how can your team do more with...more

Instituciones Financieras y el FCPA

Foodman CPAs & Advisors on 1/10/2020

La Ley de Prácticas Corruptas en el Extranjero (“Foreign Corrupt Practices Act – FCPA”) prohíbe el pago de sobornos a funcionarios extranjeros para ayudar a obtener o retener negocios. Exige que las empresas cuyos valores se...more

Financial Institutions and the FCPA

Foodman CPAs & Advisors on 1/10/2020

The Foreign Corrupt Practices Act (FCPA) prohibits payment of bribes to foreign officials to assist with obtaining or retaining business. It requires companies whose securities are listed in the US to maintain books and...more

Top SEC Enforcement Actions from 2019

Thomas Fox - Compliance Evangelist on 1/3/2020

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

Financial Daily Dose 11.26.2019 | Top Story: Viagogo buys ticket reseller from StubHub for $4 billion

Robins Kaplan LLP on 11/26/2019

The merger craze keeps on keeping on, with news that Ebay’s selling secondary ticket marketplace StubHub to Viagogo, a smaller rival with a strong presence in Europe helmed by StubHub’s co-founder Eric Baker, for more than $4...more

(Another) Big Bank Pays FCPA Penalty for Hiring Practice

Bass, Berry & Sims PLC on 10/24/2019

• A payment to a government official can take many forms. • The SEC charges bank for books and records violation even absent a bribery charge. • Industry-wide enforcement is a continuing tactic for U.S. regulators. ...more

Casebook of Sherlock Holmes: The Illustrious Client-the Reference Check

Thomas Fox - Compliance Evangelist on 7/15/2019

Why is hiring so important for compliance? It is because hiring is important to any company’s health and reputation. Like most areas of compliance good hiring practices for those employees who will do business in compliance...more

The Credit Suisse FCPA Enforcement Action: Part III – The Result and Going Forward

Thomas Fox - Compliance Evangelist on 7/13/2018

Last week Credit Suisse Group AG (CSAG) and Credit Suisse (Hong Kong) Limited (CSHK), a subsidiary of CSAFG, settled a Foreign Corrupt Practices Act (FCPA) enforcement action for just over $77 million for the illegal hiring...more

HR and Compliance: Working Together to Hire Ethical Employees

The Volkov Law Group on 11/2/2017

Human resources and compliance professionals share many common objectives and interests. They need to coordinate and operationalize their joint interests in a variety of ways....more

S.D.N.Y. Dismisses Dodd-Frank Whistleblower Retaliation Claim

Proskauer - Whistleblower Defense on 2/23/2017

In one of the first cases to address the standard governing a motion for summary judgment in a Dodd-Frank whistleblower retaliation case, Judge Jed S. Rakoff ruled that two former executives of Vista Outdoor Inc. (the...more

Lessons Learned From FCPA Enforcement Against JP Morgan for Sons and Daughters Referral Program

The Volkov Law Group on 11/23/2016

Last week, the Justice Department and the SEC finally brought to a close the Sons and Daughters or Princelings investigation. Pending investigations against four other companies still remain to be resolved....more

E.D. Pennsylvania Limits Protected Activity Under SOX

Proskauer - Whistleblower Defense on 10/31/2016

In Westawski v. Merck & Co., No. 14-cv-3239 (E.D. Pa. Oct. 18, 2016), the Eastern District of Pennsylvania granted Defendant Merck & Co. (Company) summary judgment on Plaintiff Joni Westawski’s (Plaintiff) SOX whistleblower...more

This Cold Bud Is For You: SEC Sanctions Anheuser-Busch for “Chilling” Employee from Communicating with SEC

Orrick, Herrington & Sutcliffe LLP on 9/30/2016

On September 28, 2016, the SEC announced that Anheuser-Busch agreed to pay $6 million to settle charges of Foreign Corrupt Practices Act and Dodd-Frank whistleblower violations. The SEC’s order stated that AB InBev violated...more

Anheuser-Busch InBev and Lessons in Joint Venture FCPA Compliance

Thomas Fox - Compliance Evangelist on 9/30/2016

Just in time for National Beveridge Day comes the Foreign Corrupt Practices Act (FCPA) enforcement action involving Anheuser-Busch InBev (ABI), where the company paid $6 million to settle charges that it violated the FCPA and...more

Lessons from Qualcomm

Thomas Fox - Compliance Evangelist on 3/8/2016

Last week the Securities and Exchange Commission (SEC) concluded a Foreign Corrupt Practices Act (FPCA) enforcement action against Qualcomm Inc. for violations on the Accounting Provisions of the FCPA, including both the...more

OIG report finds deficiencies in CFPB hiring processes

Ballard Spahr LLP on 9/3/2015

In a new report on the CFPB’s hiring processes, the Office of Inspector General (OIG) for the Fed and CFPB found that the CFPB’s Office of Human Capital (OHC) did not always follow established hiring controls. For example,...more

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Hiring & Firing › Internal Controls

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