All articles by Jaclyn Jaeger – Page 47
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Article
Wedbush to pay more than $8.1M for improper handling of ADRs
Wedbush Securities will pay more than $8.1 million to settle charges for the improper handling of “pre-released” American Depositary Receipts.
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ArticleSEC seeking comment on ways to harmonize private securities offering exemptions
The SEC is requesting public comment on ways to simplify, harmonize, and improve the exempt offering framework to expand investment opportunities while maintaining appropriate investor protections.
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ArticleBenchmark report provides holistic look at compliance best practices
A benchmark report published by NAVEX Global provides comprehensive research into the multiple disciplines of an ethics and compliance program.
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ArticleSFO appoints two non-executive directors
The U.K. Serious Fraud Office has appointed two new non-executive directors: Emir Feisal and Martin Spencer.
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ArticleICBC to pay more than $42M for improper handling of ADRs
Industrial and Commercial Bank of China Financial Services will pay more than $42 million to settle charges with both the Securities and Exchange Commission and the Department of Justice for the improper handling of “pre-released” American Depositary Receipts.
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Article
Expedia settles with Treasury for violations of U.S. sanctions on Cuba
Expedia Group has agreed to pay more than $325,000 to resolve allegations that it violated U.S. sanctions on Cuba, the Treasury Department announced.
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French real estate company fined €400,000 for GDPR violations
France’s data watchdog CNIL levied a €400,000 (U.S. $453,000) fine on real estate services provider Sergic for failing to adequately protect the data of its Website’s users.
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Article
FCA publishes final report on RBS
The Financial Conduct Authority has concluded its investigation into the Royal Bank of Scotland and published a final report of its findings.
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Article
Canon, Toshiba to pay $5M for antitrust law violations
Canon and Toshiba will pay $2.5 million each to settle federal charges regarding violations of the Hart-Scott-Rodino Act during an acquisition deal in 2016.
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ArticleEDPS flags data protection issues on EU institutions’ Websites
Seven our of 10 major EU Websites have issues relating to data security and protection, according to an inspection by the European Data Protection Supervisor.
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Article
EDPB adopts final Codes of Conduct guidelines
European data protection authorities met on June 4 to discuss guidelines for Codes of Conduct in relation to the General Data Protection Regulation.
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Article
Insys files for bankruptcy after $225M settlement
Opioid maker Insys Therapeutics has filed for bankruptcy after agreeing to a $225 million global resolution to settle investigations concerning deceptive marketing and distribution of the drug Subsys.
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ArticleOSI Systems: FCPA probes have been closed
DOJ and SEC investigations into market security company OSI Systems have officially been terminated. No further information was provided.
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Article
World Bank debars China Railway Construction, two subsidiaries
The World Bank announced the nine-month debarment of China Railway Construction Corp. and two of its subsidiaries concerning misconduct under a highway project in Georgia.
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Article
SFO fines FH Bertling £850,000 in Angolan bribery scheme
The U.K. Serious Fraud Office on June 3 fined U.K.-based logistics and freight operations company FH Bertling £850,000 (U.S. $1.08 million) for a bribery scheme created to secure contracts in Angola.
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ArticleSurvey: Healthcare compliance officers' roles expanding
A new study from SAI Global and Strategic Management Services shows how the role of healthcare CCO has evolved beyond regulatory compliance.
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ArticleExxonMobil governance as toxic as carbon footprint
The fact that ExxonMobil continues to think only about its bottom line and is indifferent toward the devastating global consequences of its actions demonstrates a corporate culture with no moral compass.
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Article
World Bank debars French, Brazilian subsidiaries of Veolia Water
The World Bank has debarred two subsidiaries of Veolia Water Technologies for fraudulent and collusive practices during a bidding process under the Río Bogotá Environmental Recuperation and Flood Control Project in Colombia.
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Article
Treasury issues Finding of Violation to State Street subsidiary
The U.S. Treasury Department has found that State Street Bank and Trust violated Iranian Transactions and Sanctions Regulations.
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Article
Braskem board approves $101M leniency agreement
Braskem has approved a 410 million reais (U.S. $101 million) leniency agreement with authorities for concealing its role in a bribery scheme involving Petrobras.