All Regulatory Enforcement articles – Page 134
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Blog
There will be blood
A viral video of a nurse who was arrested for upholding her hospital’s own policy on permitting blood draws from non-consenting patients highlights the true challenges of compliance.
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Blog
SEC names director of DERA
The Securities and Exchange Commission has named Jeffrey Harris as director of the agency's Division of Economic and Risk Analysis (DERA). He replaces former director Mark Flannery, who left the agency to return to teaching.
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Blog
Chairman Clayton names executive staff
The Securities and Exchange Commission has named seven individuals to the executive staff of Chairman Jay Clayton.
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Blog
What are the effects of C-Suite involvement in bribery and corruption?
A look at the corruption cases of Samsung and Panalpina and the outcome from when C-Suite becomes involved in corporate bribery and corruption schemes.
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Blog
Preparing for compliance
One lsson learned from Hurricane Harvey applies to today’s compliance professional: You must do more than prepare for a compliance emergency by preparing beforehand, but you must also practice that preparedness.
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Will Uber change its toxic culture?
The Man From FCPA explores what the future has in store for Uber Technologies under new chief executive Dara Khosrowshahi.
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Article
Compliance remedies for new sanction headaches
Compliance officers will want to reevaluate their trade sanction compliance policies, following new sanctions legislation signed into law this month.
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Scam and money laundering puts former Wells Fargo manager in jail
A former Wells Frago bank manager is headed to jail for his role in a $1.66 million mass mailing scam that was facilitated with a money laundering scheme.
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Medical device CEO convicted of $750 million securities fraud
A federal jury has convicted the former chief executive officer of a publicly traded medical device compan for his role in orchestrating a fraud scheme that led to $750 million in shareholder losses.
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Blog
Mylan will pay $465 million to resolve False Claims Act liability
Mylan, maker of the EpiPen, has agreed to pay $465 million to settle Department of Justice allegations that it violated the False Claims Act by misclassifying the epinephrine injector as a generic drug to avoid paying Medicaid rebates.
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Hedge fund adviser charged with inadequate insider trading controls
A hedge fund advisory firm has agreed to pay more than $4.6 million to settle SEC charges that it had inadequate policies and procedures to prevent the misuse of inside information, including information about confidential government decisions.
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NLRB compliance officer fabricated victims, stole from compensation fund
A former NLRB compliance officer pleaded guilty this week to charges he stole more than $400,000 from an agency fund he oversaw that was intended to distribute funds to employees victimized by labor law violations.
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Blog
Another CCO settles with SEC over negligence of duties
The SEC has announced another settlement with a former CCO over alleged negligence. The settlement, reached on Aug. 15 also offers a caution about retaining third party compliance services.
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Blog
FCPA, CEOs and risk assessments
Ian Narev, chief executive officer of the Commonwealth Bank of Australia, may soon join the ranks of those CEOs who depart once a corruption scandal goes public.
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Blog
OFAC red cards Mexican footballer Marquez
A prominent Mexican football star finds himself on OFAC's black list for allegedly fronting for a known drug kingpin. Just when you thought soccer couldn't get any more dramatic.
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Blog
Looking to buy? Be sure and complete your due diligence
Tom Fox explores a recent report on wealthy American businessmen attempting to purchase London soccer clubs for a weekend outing and their due diligence duties.
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Article
Differing regulatory ethos poses challenges for cross-border financial institutions
In a group Q&A, we look at how multinational companies should view compliance amid attitudinal differences regarding compliance and enforcement.
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Blog
Halliburton, the FCPA, and effectiveness
Having a great compliance program means nothing if it exists only on paper. If you want to keep the DoJ and SEC happy, that program must also be demonstrably effective.
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Blog
VW enters a new penalty phase
A significant source of funding or loan guarantees for VW may have become impaired, making the emissions-testing scandal and the attendant penalty phase potentially even more damaging for the automaker.
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Blog
How Hui Chen prompted an evolution in compliance at the DoJ
Hui Chen’s time as compliance counsel at the DoJ’s Fraud Section was short and eventful and did a lot to move the needle on how the DoJ views corporate compliance programs.