All Regulatory Enforcement articles – Page 141
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Blog
Under the FCPA, 'anything of value' means precisely that
A recent U.S. Supreme Court decision makes it very clear that when it comes to issues of potential bribery, absolutely anything that could be considered as having value is fair game as a potential agent of corruption. Tom Fox reports.
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Comment letters with no response
Nobody likes to get a comment letter from the SEC, but what happens when you don’t respond or comply with one? Mercedes Erickson has the answers.
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Who watches the watchers?
The recent enforcement action against Big Four accounting firm Deloitte and its Brazilian arm details what happens when an auditor is willing to lie to the government and alter work papers on behalf of a client. But what might it be willing to do to hide bribery and corruption, asks ...
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Special ‘chairman’s flight’ leads to SEC action against United Airlines
Bruce Carton reports on the SEC’s case against United Airlines, which reportedly reinstated a money-losing non-stop flight “solely to curry favor with a public official.”
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SEC enforcement trends to watch in 2017
Jaclyn Jaeger recaps a record-breaking year for SEC enforcement activity, and what to expect in the year ahead.
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Ready for Justice Department scrutiny of your compliance program?
Nobody wants the Department of Justice to take a critical look at their compliance program. But Gejaa Gobena has some tips for how to survive the process.
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Compliance on the VW board
Tom Fox explores the case of Hans Dieter Pötsch, chairman of the VW supervisory board, who could be held responsible if German prosecutors find the board had actual knowledge, but failed to keep shareholders abreast, of the emissions-testing scandal and its potential costs.
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Use of data in a best practices compliance program
Tom Fox discusses how data must be continually managed, tested, and recalibrated within an organization for it to be fully effective.
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SEC trial scorecard update: Agency starts FY 2017 with victory
Following its victory last week in an insider trading case in California, the SEC is off to a 1-0 start in its FY 2017 federal court trials.
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Navigating the risks of individual accountability for corporate wrongdoing
How can directors and officers better protect themselves and their organizations in a post-Yates Memo era of accountability? Kevin Hyams has some answers.
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Final trial scorecard for FY 2016: SEC goes 4-1-1 in 6 trials
For the second straight year, the SEC litigated six federal court trials. This year, however, the SEC finally lost a trial -- albeit with an asterisk.
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Hiring practices trigger $264 million in FCPA fines for JPMorgan
JPMorgan Chase will pay more than $130 million to settle FCPA violations related to hiring the friends and families of government officials in Asia. Joe Mont has more.
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Regulators send a perverse message by using our compliance programs against us
The degree to which organizations’ compliance programs are being used against them by regulators is creating a perverse incentive system, writes Joe Murphy.
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Don’t worry—the need for compliance officers trumps deregulation
Just because Donald Trump suggested getting rid of a host of federal regulations doesn’t mean that there won’t be a need for compliance. More from Jaclyn Jaeger.
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SEC's Chair White to depart agency with Obama
There had been some discussion recently that perhaps SEC Chair Mary Jo White might stay on as chair until President-elect Trump found a new head for the agency, but no more. White announced today that she intends to depart the SEC at the end of the Obama Administration.
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SEC issues $20 million whistleblower award
On Monday, the SEC announced an award of more than $20 million to a whistleblower. It is the third largest bounty thus far for the Commission's whistleblower program. Joe Mont has more.
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What’s in your (corporate) wallet?
With the recent scandal at Wells Fargo, The Man From FCPA Tom Fox discusses the importance of finding out what’s in your corporate wallet, i.e. what information is in your files that could point to issues that might lead to regulatory violations.
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Artificial intelligence meets compliance
A look from Tom Fox at how artificial intelligence is changing the face of compliance in order to incorporate cultural values into the hiring process.
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What does President Trump mean for the SEC?
The United States has voted in Donald Trump as the next president. What does this mean for the SEC and financial regulation? The short answer, says Bruce Carton, is that while it is still far too early to know at this time, we do know a couple of things.
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Inquiry into Volkswagen emissions-cheating scandal widens
Volkswagen confirmed this week that Hans Dieter Pötsch, former group chief financial officer, has become the latest individual to face scrutiny as fallout from the Volkswagen emissions-cheating scandal continues. Jaclyn Jaeger has more.