Compliance Week TV

 In our first Compliance Week TV video we hear from Frank Diana, executive vice president of enherent Corporation, who discusses the challenges involved in information management.
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Webcasts of the Week

 Defining and Executing Systematic, Risk-Based Third-Party Due Diligence for FCPA Compliance
Sponsored by The Steele Foundation

Help Wanted: Ad of the Week

 Compliance Education & Communications Mgr.
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Event of the Week

 Corporate Governance Programs
Courtesy of Harvard Business School

Thought Leadership of the Week

Access Management: Efficiency, Confidence, Control
Courtesy of SAP

The Resource Exchange

Code of Conduct
Submitted by BP

Sample Risk Acceptance Request
Submitted by Circuit City

Featured Databases

Whistleblower Guidelines
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Class-Action Filings
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GRC Illustrated Series

 Improving GRC by Visualizing Your Data
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Enforcement & Litigation

Below is some of the most recent Compliance Week coverage on issues related to enforcement and litigation. Coverage focuses on developments related to SEC and DoJ enforcement, class action filings, precedent-setting court decisions, and more. Don't forget other Compliance Week resources, including former SEC staffer Bruce Carton's blog, and our weekly update on investigations and probes, and our ongoing list of class action filings and settlements.

  Title & Description Date Type of Article
1. Ninth Circuit Adopts Attorney-Client Privilege Test
Jumping on the bandwagon with other circuit courts, an influential federal appeals court has adopted for the first time a five-part test for determining the nature of the attorney-client relationship between corporate employees and corporate counsel.
 By Melissa Klein Aguilar
08/24/10 Compliance Week Coverage
2. How to Size Up, and Manage, FCPA Investigation Costs
Corporations worried about compliance with the Foreign Corrupt Practices Act—which would be, like, all of them—have a few more glimpses into the costs of investigating and settling FCPA probes that might prove to be useful benchmarks.
 By Melissa Klein Aguilar
08/17/10 Compliance Week Coverage
3. Study Raises Questions on Cooperation and Enforcement
Regulators and enforcement agencies continue as always to preach the mantra that corporations should voluntarily disclose instances of misconduct, but a new study is fueling the constant debate about what rewards corporations really get in exchange for confessing their sins.
 By Melissa Klein Aguilar
08/10/10 Compliance Week Coverage
4. Goldman Settlement Pins Big Responsibilities on CCO
Corporate America has been buzzing about Goldman Sachs’ recent settlement of fraud charges with the Securities and Exchange Commission for all sorts of reasons. One provision in particular, however, should make compliance executives take notice: the SEC’s insistence that Goldman’s top compliance officer certify the Wall Street bank’s good behavior.
 By Melissa Klein Aguilar
08/03/10 Compliance Week Coverage
5. Changes in Enforcement Thanks to Dodd-Frank
You may feel like the Dodd-Frank Act has been with us for months already, but President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act into law only two weeks ago. Lawyers, bankers, auditors and compliance executives have now had several weeks to digest the final version of the 2,300-page law, and how it will affect their clients and industries.
 By Bruce Carton
08/03/10 Columns & Editorials
6. Court Rules Against SEC in Section 10(b) Case
One year ago the Securities and Exchange Commission made headlines when it charged two Wall Street bankers with insider trading in credit default swaps. In brining the case—the first-ever insider-trading enforcement action involving credit default swaps—the SEC sought to stake out new ground under the decade-old Gramm-Leach-Bliley Act.
 By Bruce Carton
07/13/10 Columns & Editorials
7. Supreme Court to Consider Materiality Next Term
The U.S. Supreme Court has agreed to hear a case next term that will try to answer the controversial question of how much information companies are expected to disclose to the public, even if certain information doesn’t appear significant at first glance.
 By Jaclyn Jaeger
07/13/10 Compliance Week Coverage
8. Podcast: Anti-Bribery Enforcement in Canada
We chat with Mark Morrison, partner at the law firm of Blake, Cassels and Graydon in Calgary, about revived enforcement of anti-bribery statutes in Canada.
 		07/09/10 Compliance Week Coverage
9. Litigation Consequences of Supreme Court’s Big Decisions
The U.S. Supreme Court has given Corporate America and its lawyers plenty to ponder over the summer, issuing important opinions on securities lawsuits and anti-fraud enforcement that should have a significant effect on litigation in years to come.
 By Melissa Klein Aguilar
07/07/10 Compliance Week Coverage
10. SEC Bounty Program May Complicate Whistleblowing
As compliance officers spend the summer poring over the 2,000-plus pages of Congress’ regulatory reform bill, they might want to pay particular attention to one provision about whistleblowing that could become a big deal for all public companies.
 By Melissa Klein Aguilar
07/07/10 Compliance Week Coverage
11. High Court Ruling Alters Sarbanes-Oxley Act
The U.S. Supreme Court upheld the overall constitutionality of the Sarbanes-Oxley Act on Monday, striking down only a narrow portion of the law and defusing what could have been a huge headache for Washington and Corporate America alike.
 By Jaclyn Jaeger
06/29/10 Compliance Week Coverage
12. More Proof of Global Anti-Bribery Crackdown
Enforcement officials have been hammering home the message for more than a year, but if any global corporations still want proof: A new report has more hard evidence that enforcement of anti-bribery laws is increasing, albeit slowly, around the world.
 By Melissa Klein Aguilar
06/22/10 Compliance Week Coverage
13. e-Discovery Challenges of Social Media
As if complying with current e-discovery rules is not challenging enough, social networking Websites such as Facebook and Twitter are creating new headaches for corporate compliance and legal departments.
 By Jaclyn Jaeger
06/15/10 Compliance Week Coverage
14. Virginia, Epicenter of Fraud Enforcement. Yes, Really.
When Neil MacBride, U.S. attorney for the Eastern District of Virginia, told The Wall Street Journal in May that he was putting together a new “investigative taskforce” to crack down on financial crime and securities fraud, the news didn’t strike many as a significant development.
 By Bruce Carton
06/08/10 Columns & Editorials
15. White-Collar Crime Enforcement 101
A squadron of Justice Department officials appeared at the Compliance Week 2010 conference last week to talk about effective compliance programs, and they all drilled home one message: They have declared war on “paper programs.”
 By Tammy Whitehouse
06/02/10 Compliance Week Coverage
16. DoJ Warns on Heightened Fraud Enforcement
As the Justice Department ramps up its efforts to combat all forms of fraud, two of its top officials gave corporate compliance, legal, and risk professionals the straight dope on what they must do to keep their companies out of trouble.
 By Melissa Klein Aguilar
06/02/10 Compliance Week Coverage
17. Chipping Away at Effective Anti-Corruption Programs
Attendees at the Compliance Week 2010 conference last week got a refresher course in the compliance challenges and litigation risks stemming from bribery and corruption—and given the fast-changing regulatory landscape around corruption, Corporate America needs the extra help.
 By Melissa Klein Aguilar
06/02/10 Compliance Week Coverage
18. Podcast: Healthcare Reform and Whistleblowers
Mychal Schulz, a partner at the law firm Dinsmore & Shohl, talks about reforms to protection for corporate whistleblowers included in the recent healthcare reform laws.
 		05/14/10 Compliance Week Coverage
19. A Glimpse Into SEC Enforcement, by Way of Goldman
In a time of ongoing heightened scrutiny for the Securities and Exchange Commission, many current and former leaders of the SEC’s Division of Enforcement met recently for an extraordinary panel discussion at the National Press Club in Washington, D.C.
 By Bruce Carton
05/11/10 Columns & Editorials
20. Ruling Defines Statute of Limitations for Class Actions
The U.S. Supreme Court has finally clarified when the statute of limitations starts on federal securities lawsuits, an issue last addressed 20 years ago.
 By Jaclyn Jaeger
05/11/10 Compliance Week Coverage
21. eBay Victory Sketches Outlines of Trademark Efforts
A federal appeals court ruling earlier this month has laid down the law for how far e-commerce businesses must go to enforce trademark protections—and the victory goes to the e-commerce shops.
 By Jaclyn Jaeger
04/27/10 Compliance Week Coverage
22. Ruling Expands Scope of Whistleblower Protections
A federal judge in Massachusetts has fired a dramatic new volley in the battles over who can file whistleblower retaliation claims under Section 806 of the Sarbanes-Oxley Act, ruling that two employees of a private contractor to Fidelity Investments can pursue retaliation complaints against Fidelity, because the business ultimately serves investors in public companies.
 By Melissa Klein Aguilar
04/20/10 Compliance Week Coverage
23. U.K. Enforcement Takes New, Stronger Tone
Oh, what a difference a financial crisis and an election can have on the entire philosophy and future of financial regulation in a country!
 By Bruce Carton
04/13/10 Columns & Editorials
24. Whistleblowers Gain Ground on Retaliation Suits
Corporate whistleblowers suing employers for alleged retaliation may be gaining more traction in the legal system, with two plaintiffs recently winning reinstatement of their jobs and back pay through the Department of Labor.
 By Tammy Whitehouse
04/13/10 Compliance Week Coverage
25. Healthcare Reform Expands False Claims Liability
The healthcare reform law passed by Congress last month has yet another surprise for corporate legal and compliance departments: It allows yet more whistleblower lawsuits to be filed against corporations under the False Claims Act.
 By Melissa Klein Aguilar
04/13/10 Compliance Week Coverage
26. Innospec Settlement Shows Latest FCPA Thinking
Ethics and compliance officers might want to pay special attention to the Justice Department’s recent settlement of Foreign Corrupt Practices Act charges against chemical company Innospec, which is emerging as the latest cautionary tale about overseas bribery, self-disclosure, and global anti-corruption enforcement.
 By Melissa Klein Aguilar
04/06/10 Compliance Week Coverage
27. Study Probes Increase in Class-Action Settlements
The pace of settlements in class-action securities settlements crept up last year and the actual payouts of those deals ballooned 35 percent, a probable harbinger of more litigation to come.
 By Jaclyn Jaeger
04/06/10 Compliance Week Coverage
28. Podcast: Reg FD Enforcement
Compliance Week editor Matt Kelly talks with Jeff Delaney, of the law firm Pillsbury Winthrop Shaw, about recent enforcement of Regulation Fair Disclosure by the Securities and Exchange Commission.
 		03/30/10 Compliance Week Coverage
29. OECD Anti-Bribery Guide as Path to FCPA Compliance
The compliance community is perking up to new anti-bribery guidance recently published by the Organization for Economic Co-operation and Development that could serve as a blueprint for stronger compliance with the U.S. Foreign Corrupt Practices Act.
 By Melissa Klein Aguilar
03/30/10 Compliance Week Coverage
30. Eli Lilly Beefs Up Compliance, Adds Four New Positions
Pharmaceutical giant Eli Lilly & Co. has agreed to create four new senior-level ethics and compliance positions as part of a deal to settle various shareholder lawsuits stemming from the illegal marketing and promotion of a handful of its drugs.
 By Jaclyn Jaeger
03/23/10 Compliance Week Coverage
31. High Court Ruling on Jurisdiction Helps Companies
The U.S. Supreme Court has ruled that a corporation’s principal place of business is wherever senior management shows up for work to direct company operations, a notable victory in Corporate America’s endless fights with unhappy litigants.
 By Jaclyn Jaeger
03/16/10 Compliance Week Coverage
32. Podcast: Improving FCPA Compliance Programs
In this week’s podcast, Compliance Week editor Matt Kelly talks with Russ Berland of the law firm Stinson Morrison & Hecker about new guidance from the Organization of Economic Cooperation and Development that could be a blueprint for stronger FCPA compliance.
 		03/16/10 Compliance Week Coverage
33. DoJ and SEC Go All Out to Stop Fraud
When Assistant Attorney General Lanny Breuer was recently asked to comment on enforcement of the Foreign Corrupt Practices Act in 2009, he minced no words: “One can say without exaggeration that this past year was probably the most dynamic single year in the more than 30 years since the FCPA was enacted.”
 By Bruce Carton
03/09/10 Columns & Editorials
34. Past, Present, and Future of SEC Enforcement Policy
Crafting the perfect settlement with the Securities and Exchange Commission often depends more on circumstance than policy and is more art than science. Anyone who questions that might want to ask Jed Rakoff.
 By Tammy Whitehouse
03/09/10 Compliance Week Coverage
35. DoJ Tells Pharma to Brace for FCPA
The Department of Justice has issued a strong warning in recent months to those in the pharmaceutical and healthcare industries: find a way to deter fraud and other corporate corruption, or face hefty consequences.
 By Jaclyn Jaeger
03/02/10 Compliance Week Coverage
36. List: Law Firm Corporate Securities Practices
Law firms with the largest corporate securities practices, ranked by partner, as reported via an email survey in October and November 2009.
 By Compliance Week
02/23/10 Compliance Week Coverage
37. List: Law Firm Corporate Securities Practices 02/23/10 Compliance Week Coverage
38. How to Avoid ‘Internal Investigation Risk’
Internal investigations are an indispensable part of a robust compliance program. When faced with potential misconduct, a company must have the right processes to manage an investigation to resolution.
 By Frank Lopez, Compliance Week Guest Columnist
02/23/10 Columns & Editorials
39. Podcast: SEC Enforcement Reforms
Compliance Week editor Matt Kelly talks with John Carney of the law firm Baker Hostetler about the SEC’s new policies to expedite investigations and encourage witness cooperation.
 		02/23/10 Compliance Week Coverage
40. Time to Recheck Your Antitrust Compliance Program
If you haven’t done so lately, now would be a good time to review your antitrust compliance program. Regulators are making good on their promise to reinvigorate antitrust enforcement, experts say.
 By Melissa Klein Aguilar
02/17/10 Compliance Week Coverage
41. Details Emerge on SEC Office of Market Intelligence
One of the first tools that the Securities Exchange Commission launched after it ushered itself into the Internet era in the mid-1990s was the “Enforcement Complaint Center,” a fancy name for an e-mail box at the SEC where the public could send tips. The Enforcement Complaint Center initially received only about 20 complaints per day, but that number snowballed through the years. Today it’s not uncommon for the ECC to receive up to 1,000 e-mail tips per day.
 By Bruce Carton
02/09/10 Columns & Editorials
42. Proposals for Sentencing Guidelines Back Stronger CCO
The U.S. Sentencing Commission is mulling possible changes to its Federal Sentencing Guidelines that could change the expectations for “effective” corporate compliance programs generally, and for the chief compliance officer in particular.
 By Melissa Klein Aguilar
02/09/10 Compliance Week Coverage
43. Podcast: Review of Latest FCPA Sting
Compliance Week editor Matt Kelly chats with Tom Fox, an independent lawyer and FCPA compliance consultant, about last week’s massive FCPA sting by the Justice Department.
 		01/22/10 Compliance Week Coverage
44. SEC Enforcement Division Gets Sweeping Makeover
The Securities and Exchange Commission is making good on its promise to galvanize its enforcement efforts, implementing new policies to win cooperation from individuals and corporations during its investigations and a revamped personnel structure aimed at helping the agency ferret out complicated wrongdoing more quickly.
 By Melissa Klein Aguilar
01/20/10 Compliance Week Coverage
45. Dissecting the Investor Protection Act
In December the U.S. House of Representatives passed a key financial reform bill, the Wall Street Reform and Consumer Protection Act of 2009, which would provide sweeping new oversight of the financial sector. The bill, which passed the House narrowly and without a single Republican vote, includes new regulations in a host of areas of interest to Compliance Week readers, such as exempting certain filers from compliance with Section 404(b) of the Sarbanes-Oxley Act. It also creates a new Consumer Financial Protection Agency to regulate financial products sold to the public, and a Financial Stability Council to identify and regulate particularly risky financial firms.
 By Bruce Carton
01/12/10 Compliance Week Coverage
46. Court Ruling Opens Door to Whistleblower Litigation
A federal appeals court has just opened the door for corporate whistleblowers considerably more, ruling that the ex-employee of an instrumentation company has the right to argue his retaliation complaint in federal court because the Labor Department wasn’t moving quickly enough to resolve the issue.
 By Melissa Klein Aguilar
01/12/10 Compliance Week Coverage
47. Nine Cases to Shape the 2010 Legal Landscape
2009 was a notable year for securities litigation and regulatory enforcement, as the first consequences of the financial crisis had their days in court. Expect more to come in 2010.
 By Jaclyn Jaeger
01/05/10 Compliance Week Coverage
48. Honest-Services Fraud Comes Under Fierce Attack
Defense attorneys’ attack against one of the Justice Department’s primary tools to prosecute fraud has begun.
 By Melissa Klein Aguilar
12/15/09 Compliance Week Coverage
49. Deceptive, and Elusive, Metrics for SEC Enforcement
For many years, Securities and Exchange Commission statements about the performance of its Enforcement Division have centered on the number of enforcement actions brought during each fiscal year. At the end of fiscal 2008, for example, the SEC issued a press release announcing that the 671 enforcement actions brought that year were the second-highest number of enforcement actions in agency history. The volume of actions brought, the SEC implied, resulted from “the dedicated enforcement staff … working around the clock to investigate and punish wrongdoing.”
 By Bruce Carton
12/08/09 Columns & Editorials
50. Podcast: Big Pharma and FCPA
In this week’s podcast, Compliance Week editor Matt Kelly talks with Jonathan Halpern of the law firm Bracewell and Giuliani, about a possible new crackdown on FCPA compliance in the pharmaceutical industry.
 		12/04/09 Compliance Week Coverage

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