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Third-Party Compliance Enforcement Actions

The Volkov Law Group

Episode 365 -- Four Sanctions Cases Everyone Should Know

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How prepared is your organization to handle the evolving landscape of sanctions compliance? In this episode of Corruption, Crime and Compliance, Michael Volkov dives into critical sanctions compliance cases and their...more

Vondran Legal

Tackling mobile application takedowns - the Musi vs Apple case

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It's never fun to see years and years of hard work go to waste. In particular, when you build an eCommerce site on a site like Etsy, Shopify, Amazon, or eBay, and get an email message or a letter informing you that you have...more

Bradley Arant Boult Cummings LLP

No. 10: Unlocking the Secrets of OSHA Inspections Through FOIA Requests

Did you know that you can request files from OSHA? Under the Freedom of Information Act (FOIA), employers, employees, and third parties have the right to request documents from OSHA’s inspection files. These records provide...more

Proskauer - Health Care Law Brief

OIG Releases Special Fraud Alert About Suspect Payments in Marketing Arrangements Related to Medicare Advantage and Providers

On December 11, 2024, the Office of Inspector General for the U.S. Department of Health and Human Services (“OIG”) issued a special fraud alert warning about certain marketing schemes that involve questionable payments and...more

BakerHostetler

FTC Continues Focus on Disclosure of Health Information to Third-Party Technologies

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A recently announced settlement with online alcohol addiction treatment service Monument Inc. demonstrates the Federal Trade Commission’s (FTC) continued focus on the use and disclosure of health data. The proposed settlement...more

WilmerHale

California AG Announces Second CCPA Enforcement Action

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On February 21, the California Attorney General (“AG”) announced a settlement with DoorDash, an online food delivery service, to resolve allegations that the company violated the California Consumer Privacy Act (CCPA) and...more

Thomas Fox - Compliance Evangelist

Pre-taliation Protection Extends to Third Parties

The Securities and Exchange Commission (SEC) has been cracking down on companies that engage in pre-taliation, imposing increasing fines as a result. This was evident in the recent case of JP Morgan,  which faced an $18...more

Jenner & Block

Client Alert: How Regulatory Events of 2023 Should Guide Financial Institutions' New Year's Resolutions for 2024

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As consumer-facing financial institutions of all types—from well-established banks to newly-launched fintechs—set their 2024 regulatory compliance goals, they may wonder if their New Year’s resolutions align with those that...more

Adams & Reese

FDIC Sends Clear Message in Recent Enforcement Action: BaaS/Fintech Partnerships are a High-Risk Compliance Area

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Last month, the Federal Deposit Insurance Corporation (“FDIC”) took action against a bank for alleged unsafe or unsound banking practices. This, in and of itself, is not usual or newsworthy. What is unusual and newsworthy,...more

A&O Shearman

DOJ Cracks Down on Third Party Information Benchmarking

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On September 28, 2023, the Department of Justice (DOJ) launched a civil suit against a benchmarking service provider that signals a crack-down on benchmarking involving the exchange of competitively sensitive information. ...more

American Conference Institute (ACI)

The Role of Artificial Intelligence in Ephemeral Messaging

As U.S. regulators and enforcement authorities alike become increasingly focused on corporate oversight practices of their employees' use of third-party messaging applications, including ephemeral messaging, companies should...more

BCLP

Paris Litigation Gazette Issue 2 - March 2023

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Welcome to the Litigation Gazette. Each quarter, BCLP's Paris team will keep you informed of the main litigation news in competition law, commercial litigation, labor law, IP/IT/Data and compliance....more

Wiley Rein LLP

CFIUS Releases First-Ever Enforcement and Penalty Guidelines

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On October 20, 2022, the Department of the Treasury (Treasury), which chairs the Committee on Foreign Investment in the United States (CFIUS), released the first-ever CFIUS Enforcement and Penalty Guidelines (the Guidelines)....more

Fenwick & West LLP

FTC Issues Notice of Penalty Offenses for Endorsement and Testimonial Marketing

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On October 13, 2021, the Federal Trade Commission (FTC) sent a Notice of Penalty Offenses to more than 700 businesses, including top consumer brands, retailers, e-commerce platforms and advertising agencies, regarding...more

Perkins Coie

Rare DOJ Opinion Offers Anti-Bribery Lessons for Transactions Involving Foreign Government-Owned Assets

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The U.S. Department of Justice (DOJ) has issued an opinion letter (catalogued as FCPA Opinion No. 20-01) stating that it does not intend to take enforcement action under the Foreign Corrupt Practices Act (FCPA) against a...more

The Volkov Law Group

Episode 120: Interview of NAVEX Global Third-Party Risk Officials: Chris Bailey and Stephen Gooding

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Global companies face extraordinary risks through their reliance on third-party agents, distributors, consultants and vendors/suppliers. Federal prosecutors and regulators have had a record year in FCPA and sanctions...more

Thomas Fox - Compliance Evangelist

The Ahsani’s Information – The Fraudulently Obtained Certifications

This week I am mining the guilty pleas of the former Unaoil Chief Executive Officer (CEO), Cyrus Ahsani, and former Chief Operations Officer (COO), Saman Ahsani, for what they might mean for Foreign Corrupt Practices Act...more

Thomas Fox - Compliance Evangelist

The Panalpina Settlement Day Record May Finally Be Broken: The Unaoil Execs Guilty Pleas

Nine years ago today, on November 4, 2010, was Panalpina Settlement Day which made history for the single largest number of companies to simultaneously settle Foreign Corrupt Practices Act (FCPA)-related violations. It was...more

Sunstein LLP

FTC Unfriends Facebook But Wants to Stay in Touch

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The Federal Trade Commission announced its settlement with Facebook on the same day that Robert Mueller testified before the House Judiciary Committee. While this may have been calculated to take Facebook off the front page,...more

Burr & Forman

Walmart FCPA Settlement Shines Light On Corporate Compliance Programs

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June 20, 2019 – Walmart (NYSE: WMT) and its subsidiary, WMT Brasilia, agreed to a combined criminal penalty and disgorgement of $282M, together with WMT’s criminal guilty plea and undertakings in an NPA, to reach a global...more

Thomas Fox - Compliance Evangelist

Corruption in China: Part 2 – The Bribery Schemes

After a sidetrack into the ethical train wreck detailed by the SEC Cease and Desist Order re: KPMG yesterday, I am returning to the blog post series I am running based upon the New York Times (NYT) reporting by Alexandra...more

WilmerHale

New FTC Data Security Order Shows Trend in Increased Accountability for Data Security Post-Order

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On June 12, 2019 Lightyear Dealer Technologies LLC, a company that provides data storage for many of the nation’s largest auto dealers, stipulated to an Order with the Federal Trade Commission (FTC) resulting from a 2016 data...more

Vedder Price

Investment Services Regulatory Update - August 2017

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On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert providing a summary of the staff’s observations from sweep exams of broker-dealers, investment advisers and funds...more

McDermott Will & Emery

Focus on China - October 2015

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Welcome to the third issue of Focus on China Compliance for 2015. According to the FCPA Blog’s October 2015 Corporate Investigations List, China leads the countries reported to be involved in FCPA investigations with 29...more

NAVEX

New Year, New Focus on Enforcement: The U.K. Strengthens Anti-Bribery and Corruption Enforcement

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U.K. regulators have started 2015 with a bang, promising increased cooperation among regulatory agencies, and tougher enforcement of financial crimes, with an emphasis on anti-bribery and corruption efforts....more

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