FCPA Compliance and Ethics Report-Episode 42, Interview with Patrick Taylor of Oversight Systems on Transaction Monitoring
FCPA Compliance and Ethics Report-Episode 35-Transaction Monitoring
Transaction Monitoring Under the FCPA
Between export bans and the numerous entities and individuals now restricted from transacting in the global economy, organizations worldwide must evaluate the legal, reputational, and cybersecurity impacts on their supply...more
On July 22, 2019, the United States Department of Justice (“DOJ”) and Securities and Exchange Commission (“SEC”) announced that they had resolved allegations of Foreign Corrupt Practice Act (“FCPA”) violations against...more
Initially, it would not seem that much was new or different about the Microsoft FCPA enforcement action but through this exploration, I think some clear lessons have emerge. The first is around internal controls. Here there...more
The Och-Ziff settlement has now set the stage for the Justice Department and the SEC to focus its enforcement eye on the private equity and hedge fund industry. The Och-Ziff action was initiated in response to the SEC’s...more
Former Speaker of the United States House of Representatives Dennis Hastert entered the well of a courtroom in the Northern District of Illinois earlier this week to enter a plea of not guilty to charges that he structured...more
Transaction monitoring was mentioned in a couple of significant enforcement actions of 2012. I think that it will move to becoming a best practice in FCPA compliance programs. This video will explain how transaction...more