All compliance program articles
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ArticleSEC 2022 exam priorities stress compliance ‘must be empowered’
The Securities and Exchange Commission released its 2022 examination priorities, providing investment firms, broker-dealers, and other registrants a breakdown of what issues the Division of Examinations will focus on this year.
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Article
DOJ official: ‘Inability to pay’ playing more prominent role in criminal cases
Revenue constraints faced by companies due to the coronavirus pandemic are factoring more prominently into settlement discussions with the Department of Justice, according to acting Criminal Division head Brian Rabbitt.
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ArticleNRA shot itself in foot with poor compliance commitment
The New York Attorney General’s lawsuit to dissolve the National Rifle Association might not play out as intended, but it nevertheless exposes a number of systemic compliance flaws at the organization that appear to still need to be addressed.
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ArticleAlexion nears $25M settlement with SEC in FCPA probe
Alexion Pharmaceuticals said in a regulatory filing that it is nearing a $25 million settlement with the Securities and Exchange Commission concerning an investigation into the company’s compliance with the Foreign Corrupt Practices Act spanning various countries.
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Blog
How to use sticks in a compliance program
The application of discipline is a key aspect to any best-in-class compliance program, and yet many companies have never disciplined any employee for ethical violations, writes The Man From FCPA.
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Blog
Using incentives in a compliance program
As stated in the FCPA Guide, compliance programs need to have in place recognized incentives for doing business. The Man From the FCPA discusses what important parts an incentive program may include.
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Blog
LafargeHolcim CEO latest victim of non-compliance
LafargeHolcim CEO Eric Olsen will resign on 15 July this year, in response to the company’s enquiry into the conduct of its Syrian subsidiary between 2010 and September 2014, in which the subsidiary did business with terrorists who had taken control of the territory surrounding the LafargeHolcim’s cement plant.
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Article
CW2016: Putting compliance into practice
Yes, yes—companies everywhere know that having in place an effective compliance program is more important today than ever before, but how are compliance officers actually achieving that? Jaclyn Jaeger recaps this discussion from Compliance Week 2016.
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Blog
Podcast: Spain’s New Corporate Compliance Defense
Image: Spain has been receiving a lot of attention for its corporate compliance defense. Not only did the country adopt new requirements to help root out corruption; it goes further than other nations have gone by mandating specific features that compliance programs must contain to qualify. In this podcast, Aaron ...