All Internal Investigations articles – Page 3
-
ArticleDiMauro: Seven compliance areas to watch in 2022
If 2021 was about transition under the Biden administration, 2022 is looking as if it will be a year of action. CW Director of Compliance Programs & Training Julie DiMauro shares her list of key areas she expects to receive enhanced scrutiny in the year ahead.
-
Article
Standard Chartered fined record $61.5M for liquidity reporting failures
The U.K. Prudential Regulation Authority imposed a record fine of £46.55 million (U.S. $61.5 million) against Standard Chartered Bank for repeatedly misreporting a key metric to determine liquidity risk.
-
Article
McDonald’s claws back $105M severance paid to disgraced former CEO
McDonald’s has agreed to drop its lawsuit against disgraced former CEO Steve Easterbrook, who will return more than $105 million in equity and cash he received upon the termination of his employment in 2019.
-
Resource
White paper: Optimizing modern ESI investigations to find the facts swiftly
The Board of Directors needs an answer before the current reporting period ends. Furtive harassment needs to be uncovered and countermanded immediately. A regulatory agency needs immediate assurance that internal procedures will suffice, otherwise a compliance investigation will be initiated. The CEO needs to know whether terms of the M&A ...
-
Article
SEC: Akazoo to pay $38.8M in fraud case concerning SPAC merger
Akazoo, a music streaming subscription company based in Greece, reached a $38.8 million settlement with the SEC for allegedly defrauding investors out of tens of millions of dollars related to a 2019 SPAC merger.
-
Article
Activision Blizzard compliance update: Personnel changes, transparency goals
Activision Blizzard announced the promotion of Jen Brewer to the role of senior vice president, ethics and compliance amid a series of other measures the embattled company is taking to enhance its culture.
-
Article
When academic studies and hoax hotline claims go ‘off the rails’
Imagine this: An anonymous hotline tip comes through that a senior executive has engaged in insider trading. This scenario happened this summer as part of academic research, effectively leaving hundreds of unwitting corporate subjects to foot the bill for unnecessary follow-up conducted.
-
Article
Ask a CCO: How do you prevent whistleblower retaliation?
Seven senior compliance practitioners detail the steps their respective companies take to ensure whistleblowers are not retaliated against when reporting potential misconduct.
-
Article
Ask a CCO: What makes a good internal reporting system?
Seven senior compliance practitioners explain what they believe to be the key tenets of an internal reporting system that encourages employees to come forward with reports of potential misconduct.
-
Article
Ask a CCO: How do you encourage internal reporting?
Seven senior compliance practitioners share how they encourage employees to come forward with reports of potential misconduct in support of the greater mission of instilling a culture of compliance.
-
Webcast
CPE Webcast: Best practices for corporate investigations in the digital age
In their recent 2021 survey, Compliance Week and OpenText reveal the growing challenges of managing investigations, driven by an increasingly complex litigation and regulatory landscape.
-
Article
Big Four mishaps in U.K. underscore need to challenge auditors
Companies should question their auditors throughout the audit process, particularly in the wake of a spate of recent enforcement actions in the United Kingdom targeting the Big Four and other large firms for audit deficiencies.
-
Article
Pactiv Evergreen nearing clearance from SEC in FCPA probe
Pactiv Evergreen said it has received indication from the SEC it will not face enforcement following an internal investigation launched last year into potential violations of the Foreign Corrupt Practices Act.
-
Article
What factors are driving change in your corporate investigations process?
A recent survey from Compliance Week and OpenText reveals while investigations and data volumes are on the rise, machine learning combined with external expertise may give companies the upper hand in accelerating response and results.
-
Resource
e-Book: What factors are driving change in your corporate investigation processes?
The results of a recent survey from Compliance Week and OpenText reveal that while investigations and data volumes are on the rise, machine learning combined with external expertise may give companies the upper hand in accelerating response and results.
-
Article
Five pieces of advice for potential whistleblowers
Thinking of becoming a whistleblower? The path ahead likely won’t be easy. Learn from others that have been through the process.
-
Article
Seven things whistleblowers want compliance officers to know
Aaron Nicodemus explains what whistleblowers, their supporters, and advocates would like compliance officers who handle internal complaints to understand about the process from their side of the table.
-
Article
Allianz bracing for financial hit amid DOJ scrutiny
Insurance giant Allianz disclosed it could face enforcement resulting from Department of Justice and Securities and Exchange Commission probes into its Structured Alpha Funds business.
-
Article
Three ideas to improve the whistleblowing process
It’s important to take stock of how far whistleblowing has advanced over the last few years. That said, there is still room for improvement. Aaron Nicodemus offers three suggestions.
-
Article
Part 5: Waiting for payout a grueling test of tenacity for whistleblowers
The road to a payout for whistleblowers is long, lonely, and full of obstacles. Commitment to the idea that they are doing the right thing helped our whistleblower subjects endure years of hardship to bring their cases to conclusion.
