Skip to main content
Skip to navigation

Home
Topics
Training
- - Live Virtual Training
    Workplace Investigations
    Managing fraud immersive training
    Ransomware prevention
  - On-Demand Training
    Ransomware response
    Demystifying ESG
    Cyber risks
- Can you detect deception on the spot?
  
  This two-day seminar from former U.S. Department of Justice Attorney Michael Johnson will cover the hundreds of research studies scientists have conducted to best interview witnesses and assess credibility.
  Register Learn more
Events
- - Upcoming events
    TPRM Virtual Summit: Dec. 7-8
    Cyber Risk & Data Privacy Summit: Feb. 15-16
    CW National: May 15-17
  - Excellence in Compliance Awards
- Best practices for vendor & third-party relationships
  
  Our TPRM Summit brings compliance and procurement professionals together for two days solely dedicated to the sharing of knowledge and experience within third-party risk management.
  REGISTER
Webcasts
- - Upcoming webcasts
    Dec 13: Streamlining TPRM workflows
    Dec 14: Predictions for finance, accounting
    Dec 15: Continuous compliance in cyber risk
- Earn CPE credit with Compliance Week
  
  Compliance Week is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors.
  Webcast Library
Resource Library
Special Reports
Membership
- Learn from the latest headlines and protect your company today
  
  DOJ official hints at policy changes for off-channel communications, clawbacks
  
  CFTC commissioner stresses ‘urgency’ in call for heightened crypto oversight
  
  OCC sets sights on big banks in updated penalty guidance
  
  Kraken to pay $362K over Iran sanctions screening lapses
  
  Individual Corporate
More navigation items

All individual liability articles

Article
OFAC announces rare sanctions enforcement against individual

2020-08-12T16:58:00Z

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 post
Rolls-Royce charges underscore trends in FCPA cases

2017-11-08T14:30:00Z

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 post
CCOs facing greater personal scrutiny from regulators

2016-05-19T13:30:00Z

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.