All individual liability articles

  • Nicodemus_opinion

    Allianz case questions if DOJ encouraging scapegoating in individual liability push


    Is the Department of Justice’s focus on individual accountability in white-collar crime cases encouraging companies to scapegoat their employees? A recent court filing in a $6 billion corporate fraud case could give company officers some sleepless nights.

  • Sanctions

    OFAC announces rare sanctions enforcement against individual


    The Office of Foreign Assets Control announced a $5,000 settlement with a U.S. person for apparent sanctions violations—a reminder the regulator can pursue enforcement against individuals in addition to companies.

  • Blog

    Rolls-Royce charges underscore trends in FCPA cases


    The Department of Justice yesterday unsealed charges against five individuals for violations of the Foreign Corrupt Practices Act, underscoring two important trends in FCPA enforcement: a growing focus on individual liability, and the undeniable global nature of FCPA investigations today. The U.K. Serious Fraud Office today also issued an update ...

  • Blog

    CCOs facing greater personal scrutiny from regulators


    The Man from FCPA, Tom Fox, examines the recent FINRA disciplinary action against Raymond James CCO Linda Busby, in light of what appears to be broadening personal liability for chief compliance officers when it comes to FCPA enforcement.