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 This week’s podcast features Russ Berland of the law firm Stinson Morrison & Hecker talking about how to use new guidance from the Organization of Economic Cooperation and Development as a blueprint for better FCPA compliance programs. Hear the podcast now.

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Thought Leadership of the Week

ERM in the Aftermath of the Credit Crisis
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Featured Databases

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Internal Controls
Compare Cos.’ Internal Controls Disclosures

GRC Illustrated Series

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Compensation Survey

 Compliance, Audit & Risk Compensation Survey
Empsight’s 2010 Compensation Survey is now open for participation. It is the leading source of its kind and reports on Fortune 500 and other large multinationals.

Global Integrity Survey

2009 Global Integrity Survey
Download the findings of the 2009 Global Integrity Survey, compiled by Compliance Week and sponsored by Integrity Interactive.

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. 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
2. 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
3. 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
4. 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
5. 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
6. List: Law Firm Corporate Securities Practices 02/23/10 Compliance Week Coverage
7. 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
8. 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
9. 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
10. 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
11. 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
12. 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
13. 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
14. 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
15. 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
16. 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
17. 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
18. 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
19. 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
20. Wisdom of Corporate Compliance, Even in Government
This past October, two victims of Bernard Madoff’s Ponzi scheme filed a lawsuit against the Securities and Exchange Commission. Their complaint: shoddy oversight and controls at the SEC let Madoff continue his fraud for years, despite numerous warnings and tips.
 By Emil Moschella, Compliance Week Guest Columnist
12/01/09 Columns & Editorials
21. Strategies to Reduce Corporate Fraud
Attendees at the annual CFO Summit at the Massachusetts Institute of Technology on Nov. 19 heard from federal regulators promising no end to their fraud crackdown of recent years, as well as from other corporate executives offering their ideas on how to maintain ethical operations amid difficult economic circumstances.
 By Jaclyn Jaeger
12/01/09 Compliance Week Coverage
22. The Board’s Role in Bringing Legal Trouble to an End
When civil litigants agree to settle their disputes, they expect judicial approval, if not praise. The rubric of our judicial system is that litigation should be discouraged, and settlements of filed lawsuits should be encouraged.
 By Harvey L. Pitt, Compliance Week Columnist
11/24/09 Columns & Editorials
23. List: Law Firm White-Collar Defense Practices
Law firms with the largest white-collar defense practices, ranked by partner, as reported via an email survey in October and November 2009.
 		11/24/09 Compliance Week Coverage
24. List: Law Firm White-Collar Defense Practices
Law firms with the largest white-collar defense practices, ranked by partner, as reported via an email survey in October and November 2009.
 By Compliance Week
11/24/09 Compliance Week Coverage
25. Lessons Taken From SEC Hedge Fund Enforcement
When the Securities and Exchange Commission announced its massive insider-trading bust against Galleon Management last month, SEC Enforcement Director Robert Khuzami gave a warning: “It would be wise for investment advisers and corporate executives to closely look at today’s case, their own internal operations, and the increasing focus and scrutiny on hedge fund trading by the SEC and others.”
 By Bruce Carton
11/10/09 Columns & Editorials
26. Sweep of False Claims Act Only Gets Bigger
As the government ramps up its war on fraud, companies ought to prepare to do battle with more False Claims Act lawsuits.
 By Melissa Klein Aguilar
10/27/09 Compliance Week Coverage
27. Keeping Pace With Anti-Trust Enforcement
Corporate legal departments might want to move antitrust enforcement a few steps higher on the priority scale for 2010.
 By Jaclyn Jaeger
10/27/09 Compliance Week Coverage
28. Reg FD Settlement Gives Valuable Insights
A settlement between the Securities and Exchange Commission and a corporate executive for violating the SEC;s Regulation Fair Disclosure offers guidance that could potentially help public companies avoid enforcement trouble over executives talking out of turn.
 By Melissa Klein Aguilar
10/06/09 Compliance Week Coverage
29. Global Enforcement, Cooperation on the Rise
U.S. and international regulators and law enforcement agencies are upping their game with increased resources and greater cooperation in response to the global financial crisis. Corporate compliance departments and counsel may want to do the same.
 By Melissa Klein Aguilar
09/29/09 Compliance Week Coverage
30. Court Ruling Expands e-Discovery Protections
Corporate legal departments have caught another break on the e-discovery front, thanks to an appeals court ruling that reaffirms the idea that electronic data seized during a criminal investigation can’t be retained unless it’s in the scope of a search warrant.
 By Jaclyn Jaeger
09/22/09 Compliance Week Coverage
31. Sharing e-Discovery Expense With Opposing Counsel
At the request of subscribers, Compliance Week offers a Remediation Center, in which readers can submit questions—anonymously—to securities and accounting experts. Compliance Week's editors will review all questions and then submit them—confidentially, of course—to specialists who can address the issues. The questions and responses will then be reprinted in a future edition of Compliance Week. Below is one of the Q&As. Ask your own questions by clicking here.
 By Susan Salmon
09/15/09 Compliance Week Coverage
32. Immigration Crackdown Equals Compliance Headaches
A government crackdown on employing illegal immigrants is stepping into high gear this fall, opening yet another front in the compliance battles Corporate America must fight.
 By Jaclyn Jaeger
09/09/09 Compliance Week Coverage
33. Empowering the SEC to Do Its Job
As I argued in this column last month, the Securities and Exchange Commission budget has been well below where it should be for several years. This shortfall has caused the SEC to suffer a 10 percent reduction in staff and a cut of more than 50 percent in its new technology investments since 2005, a period during which the securities markets it regulates have continued to see explosive growth. Most recently, of course, the agency has had to operate in this weakened state in the pressure-cooker of the current economic crisis.
 By Bruce Carton
09/09/09 Columns & Editorials
34. Recent Court Decision Clarifies Whistleblower Law
An important federal appeals court has just shed a little more light on how much ammunition workers have when suing corporations under the Sarbanes-Oxley Act for whistleblower retaliation.
 By Melissa Klein Aguilar
08/25/09 Compliance Week Coverage
35. DoJ Expands Scope of Bribery Prosecutions
A handful of recent enforcement actions brought under the Foreign Corrupt Practices Act signal that the Justice Department is expanding the scope of its bribery prosecutions, keeping true on its promise that enforcement will intensify.
 By Jaclyn Jaeger
08/25/09 Compliance Week Coverage
36. The Expanding Landscape of Litigation Holds and Document Production Business White Paper
As the courts continue to define a party obligations regarding the preservation and production of electronic discovery and the consequences for deficiencies companies must be proactive to ensure that, if a lawsuit should arise, they can rapidly and efficiently comply with applicable rules and regulations, and manage future litigation in the most cost-efficient manner possible.
 By IBM
08/24/09 Guidance
37. Podcast: Data Destruction Policy
In this weekrsquo;s podcast, Compliance Week editor Matt Kelly talks with Phil Cohen of the law firm Greenberg Traurig about data destruction policies.
 		08/21/09 Compliance Week Coverage
38. Detainee Decision Casts Shadow on Corp. Lawsuits
Corporate legal departments are buzzing about a recent U.S. Supreme Court ruling over federal detention policies for would-be terrorists that could inadvertently have profound consequences for corporate litigation.
 By Jaclyn Jaeger
08/18/09 Compliance Week Coverage
39. More Details on SEC Enforcement Overhaul
The Securities and Exchange Commission recently unveiled more details about its plan to invigorate enforcement, with the announcement of sweeping changes aimed at bringing and resolving cases more quickly.
 By Melissa Klein Aguilar
08/18/09 Compliance Week Coverage
40. Lack of Funding Cripples SEC Enforcement Division
Back in January, U.S. Rep. Gary Ackerman (D-N.Y.) was recognized to speak at a House sub-committee hearing about the Madoff Ponzi scheme and the need for better regulatory oversight to prevent such fraud. He promptly lashed out at a witness from the Securities and Exchange Commission, stating: “I want to know who is responsible for protecting the securities investor, because I want to tell that person or those people whose job it is that they suck at it.”
 By Bruce Carton
08/11/09 Columns & Editorials
41. SEC Clawback Action Sets Off Alarms
Well, it’s finally happened: The Securities and Exchange Commission has decided to claw back money from a chief executive that it believes the CEO should never have received.
 By Melissa Klein Aguilar
08/11/09 Compliance Week Coverage
42. Lessons From Latest FCPA Conviction
The Foreign Corrupt Practices Act recently came into stark relief again, this time in the form of a criminal trial and conviction—a relatively rare thing in FCPA enforcement—that underscored the importance of due diligence.
 By Melissa Klein Aguilar
08/04/09 Compliance Week Coverage
43. Report: Good Compliance Effort Counts for Little
A new study of regulatory enforcement actions shows that there is little evidence to support the conventional wisdom that strong, effective corporate compliance programs help companies secure better treatment when under investigation.
 By Melissa Klein Aguilar
08/04/09 Compliance Week Coverage
44. Podcast: Cooperating With SEC
In this week’s podcast, Compliance Week editor Matt Kelly talks with Alex Lipman of the law firm Stroock, Stroock and Lavan about a forbearance policy in SEC enforcement actions.
 		07/17/09 Compliance Week Coverage
45. Answering Lingering Questions in Madoff Wake
On June 29, federal judge Denny Chin handed down the sentence heard 'round the world: 150 years in prison for Ponzi schemer Bernard Madoff.
 By Bruce Carton
07/14/09 Columns & Editorials
46. Multi-state Attorneys General Investigations Gain Steam
Federal regulators are not the only ones flexing their muscles against Corporate America these days. State attorneys general are increasingly joining forces to go after corporate wrongdoers, too.
 By Jaclyn Jaeger
07/14/09 Compliance Week Coverage
47. Podcast: SEC Enforcement Reforms
Compliance Week editor Matt Kelly chats with Thomas Gorman, of the law firm Porter Wright, about upcoming changes the Enforcement Division of the Securities and Exchange Commission.
 		07/10/09 Compliance Week Coverage
48. FTC Decision Jolts Collection of Customer Data
A proposed settlement between the Federal Trade Commission and Sears Holdings Corp. could portend a new wave of enforcement actions against companies that deceptively collect consumer information.
 By Jaclyn Jaeger
07/07/09 Compliance Week Coverage
49. Credit Crisis Class-Action Suits Skyrocket
Corporate America, brace yourself: The unending fallout of the global financial crisis continues to drive a wide range of complicated and highly aggressive securities litigation. Worse yet, filing activity shows no signs of slowing down.
 By Jaclyn Jaeger
06/30/09 Compliance Week Coverage
50. Cutting Your e-Discovery Costs
One of the biggest beefs companies have with corporate litigation has been the rise in discovery costs, especially as Corporate America has entered the electronic era and creates exponentially more information to search. But many times, it’s the lawyers themselves who make the process more expensive than it needs to be.
 By Jaclyn Jaeger
06/30/09 Compliance Week Coverage

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