News & Analysis as of

White Collar Crimes

McKinsey, South Africa and the FCPA

by Thomas Fox on

Do you recall the boycott of South Africa from the 1970s and 1980s as a lexicon of the global fight against apartheid? The boycott extended from business to sporting events and everything in between. The campaign was one of...more

Regulators Slap Banks, MSBs and Card Club with AML Violation Penalties

by Michael Volkov on

Financial institutions face enormous pressures with respect to anti-money laundering compliance. These burdens are about to grow with implementation of customer due diligence rules. In 2017, federal and state regulators...more

Global Anti-Bribery Year-in-Review: 2017 Developments and Predictions for 2018

by WilmerHale on

This past year marked the 40th anniversary of the U.S. Foreign Corrupt Practices Act (“FCPA”). Since its enactment in 1977, the U.S. Department of Justice (the “DOJ”) has brought approximately 300 FCPA enforcement actions,...more

The Root Cause Analysis

by Thomas Fox on

One new and different item laid out in the Evaluation of Corporate Compliance Program (Evaluation), supplementing the Ten Hallmarks of an Effective Compliance Program from the 2012 FCPA Guidance, was the performance of a root...more

How Do You Evaluate a Risk Assessment?

by Thomas Fox on

Yesterday we considered how to perform a risk assessment. Today how do you evaluate the information you have developed. After you complete your risk assessment, you must then translate it into a risk profile, as Rick Messick...more

Three Simple Steps to Improve Your Corporate Culture

by Michael Volkov on

What exactly does “corporate culture” mean?  Compliance professionals often talk about how important “tone from the top” or the “mood in the middle” is, but what does that really mean?...more

Time to Test and Audit Your Compliance Program

by Michael Volkov on

We all enjoy citing government sources for guidance on an effective ethics and compliance program. Whether it is the United States Sentencing Guidelines, the Justice Department’s and SEC’s FCPA Guidance, Health and Human...more

Burr Alert: Part IV: White Collar Courier: Delivering News and Providing Guidance in White Collar Matters

by Burr & Forman on

In part one of this series, I detailed how the U.S. Department of Justice has focused its attention on the aggressive investigation and prosecution of “pill mill” cases. See “Part One: DOJ Devotes Resources, Vows to Come...more

Five Major Compliance Predictions for 2018

by Michael Volkov on

When you look back on the rise of the ethics and compliance profession, you cannot ignore the history of accomplishments. It is easy to minimize these accomplishments as a reaction to the government’s aggressive FCPA...more

Mexico’s AML Regime Evaluated by the FATF: Systemic Improvement, but Suspicious Transaction Reporting and Law Enforcement Efforts...

by Ballard Spahr LLP on

Last week, the Financial Action Task Force (“FATF”) issued a report concluding that Mexico needs to “step up efforts in pursuing money launderers.” ...more

Responding to Investigative Findings

by Thomas Fox on

Most companies understand a the need for an investigative protocol or bringing in experienced investigative counsel should a substantive Foreign Corrupt Practices Act (FCPA) allegation arise. However what is not as well known...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

An overview of last Friday’s jobs report, which saw the US adding fewer jobs than expected but also tracked a welcomed increase in wages for the least-educated workers....more

Tribute to Ray Thomas – Using Updates and Feedback in a Compliance Program

by Thomas Fox on

How best can you feeds updates back into your compliance program? Before we address that issues, I am sad to report that founding Moody Blues member Ray Thomas died last week....more

2017 Year in Review: Securities Litigation and Regulation

The securities litigation and regulatory landscape in 2017 defies simple categorization. Plaintiffs filed 226 new federal class actions in the first half of 2017, more than double the average rate over the last 20 years, and...more

Speed Bump Or Dead End? The 2018 Retrial Prospects For Sen. Menendez

by Ifrah PLLC on

This holiday season was undoubtedly festive for Senator Bob Menendez, whose corruption trial ended with a deadlocked jury in mid-November. The Department of Justice (DOJ) has yet to announce whether it will elect to re-try...more

New Year And New Legal Considerations: A Careful Review Of Corporate Document Retention Policies Should Be A Part Of Your New...

by Seyfarth Shaw LLP on

There are many competing business and legal considerations that can shape corporate record retention policies. Federal and state governments have enacted statutes, and agencies have issued myriad regulations that require...more

Operationalizing Compliance: Conduct at the Top, Accountability Are Key

Almost one year ago, in February of 2017, the U.S. Department of Justice (DOJ) Fraud Section released the Evaluation of Corporate Compliance Programs guidance, which references the FCPA Resource Guide and the Hallmarks of...more

Justice Department Closes Out 2017 with 2 FCPA Actions: Keppel Offshore and Marine and Embraer Individual

by Michael Volkov on

The Department of Justice finished 2017 with two significant FCPA enforcement actions, and fittingly, one was a corporate settlement and another was an individual criminal guilty plea. The Justice Department’s final FCPA...more

2018 FCPA Predictions (Part II of II)

by Michael Volkov on

I always take a deep breath when starting this posting – not that I am the kiss of death, but sometimes my predictions come true and most times they do not. But with that caveat, I am brave enough to venture into 2018 and...more

The Compliance Function in an Organization

by Thomas Fox on

The role of the compliance professional and the compliance function in a corporation has steadily grown in stature and prestige over the years. In the 2012 FCPA Guidance (Guidance), under Hallmark Three of the 10 Hallmarks of...more

4 International Arbitration Cases To Watch In 2018

Charles Adams, the leader of Orrick’s International Arbitration & Dispute resolution team, recently spoke with Law360 regarding international arbitration cases to watch in 2018. Charles gave his thoughts on the continuation...more

FCPA Digest - January 2018

by Shearman & Sterling LLP on

Shearman & Sterling’s bi-annual Trends & Patterns in FCPA Enforcement report provides insightful analysis of recent enforcement trends and patterns in the US, the UK and elsewhere, as well as helpful guidance on emerging best...more

CCO Authority and Independence

by Thomas Fox on

Why is the focus on the CCO role now concerned with authority and independence? The role of the Chief Compliance Officer (CCO) has steadily grown in stature and prestige over the years....more

2017 FCPA Year in Review (Part I of II)

by Michael Volkov on

With the close of 2017, FCPA enforcement continues as a major priority for the US Department of Justice. Notwithstanding fears and concerns that the new administration would turn its back on FCPA enforcement, the Justice...more

What is Effective Compliance Training?

by Thomas Fox on

The communication of your anti-corruption compliance program is something that must be done on a regular basis to ensure its effectiveness. The FCPA Guidance explains, “Compliance policies cannot work unless effectively...more

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