All Regulatory Enforcement articles – Page 131
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Blog
CFTC launches virtual currency resource web page
The Commodity Futures Trading Commission announced the launch of a new virtual currency resource Web page, a central repository for CFTC-produced resources about virtual currency and is designed to educate and inform the public about these commodities, including the possible risks associated with investing or speculating in virtual currencies or ...
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Blog
CFTC issues guidance on CTA registration requirements under MiFID II
The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight this week issued interpretative guidance, clarifying commodity trading advisor registration requirements resulting from the European Union’s MiFID II research compensation provisions for investment managers.
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Article
Going back to basics with whistleblowers
On a fundamental level, people want to know that they are being taken seriously, which is why it is so important that whistleblower policies work in practice, and not just on paper.
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Blog
Aggressive global anti-fraud enforcement to continue
If you thought that enforcement actions like Odebrecht and Vimpelcom were behind us, guess again. They were just the tip of the iceberg. Welcome to the enforcement era.
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Blog
How the CFTC oversees bitcoin futures
Three exchanges regulated by the Commodity Futures Trading Commission this month self-certified new contracts for bitcoin futures products. Sequentially, the CFTC issued a statement on the self-certification of bitcoin products by these exchanges.
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Blog
NLRB General Counsel memo a boon for employers
Newly appointed National Labor Relations Board General Counsel Peter Robb this week issued a memorandum encompassing at a high level his initial agenda as General Counsel, much of which should come as welcome news to employers.
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Blog
SEC awards company insider $4.1M for whistleblower tip
The SEC today announced an award of more than $4.1 million to a former company insider who alerted the agency to a widespread, multi-year securities law violation and continued to provide important information and assistance throughout the SEC’s investigation, making it the third whistleblower award in the past week.
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Blog
“FinCEN Exchange” seeks to enhance public-private information-sharing
The U.S. Department of the Treasury’s Financial Crimes Enforcement Network has launched the FinCEN Exchange program, intended to enhance information-sharing with financial institutions.
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Blog
SEC ratifies appointment of administrative law judges
The Securities and Exchange Commission has ratified its prior appointment of Chief Administrative Law Judge Brenda Murray and Administrative Law Judges Carol Fox Foelak, Cameron Elliot, James Grimes, and Jason Patil.
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Blog
Tax Cuts and Jobs Act passes in Senate
The Senate over the weekend passed its version of the Tax Cuts and Jobs Act, aligning closely to the corresponding bill passed by the House last month as it concerns executive compensation provisions—but the Base Erosion Anti-Abuse Tax provision has the renewable energy sector in a state of panic.
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Article
MiFID II, CAT, and the new reality of time
The Markets in Financial Instruments Directive and the Consolidated Audit Trail will be vital tools for regulating a financial sector increasingly moving at speeds too fast to follow.
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Blog
SEC awards $16M to two whistleblowers
The Securities and Exchange Commission awarded more than $8 million each to two whistleblowers whose critical information and continuing assistance helped the agency successfully bring an enforcement action.
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Blog
Tax Cuts and Jobs Act portends big changes to executive pay practices
The Senate Finance Committee and the House of Representatives have each proposed their own versions of the Tax Cuts and Jobs Act, and both portend dramatic changes to executive compensation and employee benefit practices.
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ArticleFacilitation payments now illegal in Canada
Now that facilitation payments under Canada’s anti-corruption law are officially illegal, any company doing business within Canadian jurisdiction needs to adjust its compliance policies and procedures accordingly.
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Blog
CFTC releases annual enforcement results for FY 2017
The Commodity Futures Trading Commission brought 49 enforcement-related actions in the fiscal year that ended Sept. 30, 2017, including significant actions to root out manipulation and spoofing and to protect retail investors from fraud, according to the agency’s enforcement results for FY 2017.
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Blog
Turmoil reigns at CFPB after Cordray resigns
As both the CFPB itself and the White House clash over who runs the agency in the wake of Director Richard Cordray’s resignation, compliance officers should brace for one of the Trump administration’s uglier legal battles.
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Blog
Pharmacy compliance director pleads guilty over mislabeled drugs
The former director of compliance for a compounding pharmacy company pleaded guilty last week to introducing adulterated drugs into interstate commerce and conspiracy to defraud the United States by obstructing the Food and Drug Administration’s lawful functions.
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Blog
FINRA fines J.P. Morgan $1.25M for failing to screen thousands of employees
The Financial Industry Regulatory Authority fined J.P. Morgan Securities $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600—or 95 percent—of its non-registered employees, in violation of federal securities laws.
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Blog
Senate once again passes bill to protect whistleblowers in antitrust cases
The U.S. Senate has unanimously passed the Criminal Antitrust Anti-Retaliation Act to extend whistleblower protection for employees who provide information to the Department of Justice related to criminal antitrust violations. The bipartisan measure has passed the Senate the past two Congresses, but has yet to be taken up by the ...
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Blog
Are changes coming to the DoJ corporate monitor program?
As a review of the Justice Department’s corporate monitor practices is taking shape, reports have surfaced that experts have their own suggestions.