The former U.S. chief compliance officer of London-based hedge fund Capula Investment Management, who alleged he was fired for escalating “significant regulatory compliance issues” to senior management, refiled his lawsuit in state court after his original complaint was dismissed in federal court on jurisdictional grounds.
Jaclyn Jaeger
Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal, enforcement, technology, and more. Prior to joining CW, she spent four years as a legal reporter for Lawyer’s Weekly. Jaclyn attended undergraduate school at St. Joseph’s College of Maine and graduate school at Emerson College, earning degrees in journalism.
Posted inRisk Management
The dos and don’ts of responding to a World Bank integrity audit
The World Bank Group has updated its “Integrity Compliance Guidelines” for the first time in 15 years, and at a time when sanctions cases are on the rise. These developments combined should prompt companies to reassess their anti-corruption compliance practices.
Posted inTechnology
Employment law in the age of AI: Compliance considerations
Employment law in the age of AI is evolving faster than many companies can keep pace. As more states enact AI laws and as more case law piles on, chief compliance officers and in-house counsel must ensure that compliance policies and procedures evolve as AI legal and compliance risks evolve.
Posted inFinancial Services
SEC enforcement priorities revert back to basics
Recent pronouncements made by the U.S. Securities and Exchange Commission leadership, alongside the recent overhaul of the SEC Enforcement Manual, collectively signal a back-to-basics enforcement approach that appears beneficial for companies in their dealings with the agency.
Posted inEthics & Culture
False Claims Act enforcement themes for 2026
The U.S. Department of Justice touted a record $6.8 billion in False Claims Act (FCA) recoveries in fiscal year 2025, much of that total stems from prior years’ cases and does not necessarily reflect the administration’s current enforcement direction.
Posted inRisk Management
New York governor’s veto narrows scope of New York LLC Transparency Act; Here’s What to Know
Certain non-U.S. LLCs that were formed under the law of a foreign country and authorized to do business in New York State must prepare now to ensure compliance with new beneficial ownership information disclosure requirements, or potentially face hefty penalties.
Posted inRegulatory Enforcement
National Fraud Enforcement Division: A dangerous escalation of compliance risk
Chief compliance officers and general counsel, beware: The Trump administration’s merging of its whole-of-government enforcement approach with its political agenda forewarns of escalating compliance risk on a national scale.
Posted inFinancial Services
SEC closes FCPA probe into Calavo Growers
The Securities and Exchange Commission has closed its Foreign Corrupt Practices Act investigation into Calavo Growers, three months after the Department of Justice closed its FCPA investigation into the produce and agriculture company.
Posted inRisk Management
Oil and gas executives mull the real costs of Venezuelan oil
U.S. oil and gas companies strong-armed into participating in the nationalization of Venezuela’s oil industry decades ago now face government pressure of the opposite kind: Invest billions into rebuilding a dilapidated oil and gas infrastructure for a high-risk country that still owes billions in unsettled debts.
Posted inAnti-Bribery
Tariff evasion enforcement: The new FCPA
Companies that import goods into the United States will face heightened enforcement scrutiny for attempted acts of customs fraud, including tariff evasion, under the Trump administration. Thus, chief compliance officers and in-house counsel face a new kind of pressure to ensure they are mitigating risk in this area.