All Regulatory Enforcement articles – Page 146
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ArticleSCOTUS, Congress to provide new legal insider-trading definition
A case before the Supreme Court and two bills in Congress could finally establish a national legal definition for insider trading. Joe Mont reports.
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Blog
DoJ, FTC: Preventing antitrust risk in hiring and pay decisions
HR professionals and others involved in hiring and pay decisions will want to look at new joint guidance issued by the Justice Department and the Federal Trade Commission. Jaclyn Jaeger has more.
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Blog
Sen. Warren asks President Obama to appoint new SEC chair
Apparently, you can only express your “disappointment” in someone so many times before you need to go to Plan B—take it up with the boss. Bruce Carton explores Sen. Elizabeth Warren's request of President Obama to replace SEC Chair Mary Jo White.
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Blog
SEC's Melissa Hodgman Named Associate Director in Enforcement
The SEC's Melissa Hodgman has been named as an Associate Director in the Division of Enforcement, filling a key senior position left vacant when Stephen L. Cohen departed the agency in June 2016.
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Article
New OSHA guidelines take aim at whistleblower ‘gag’ provisions
For companies seeking to settle with OSHA, getting rid of any internal provisions that stifle whistleblowing is a must. Jaclyn Jaeger reports.
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Blog
Tell us everything you know
Getting credit for cooperating with the Department of Justice is getting a whole lot tougher. Tom Fox explores.
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Blog
Galaxy Note 7 and an independent set of eyes
Tom Fox looks at the case of Samsung—which bucked the regular procedures used by other telecoms and self-tested its Note 7 batteries—to see how independent oversight would have made the difference in the outcome.
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Blog
Omnicare to pay $28M to settle kickback allegations
Omnicare this week agreed to pay $28.1 million to resolve allegations that it solicited and received millions of dollars in kickbacks from drug maker Abbott Laboratories, the Justice Department announced. Jaclyn Jaeger has more.
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Blog
BasisCode insider trading solution helps detect suspicious trades
BasisCode Compliance, a provider of regulatory compliance software solutions, recently introduced the launch of Insider Trading Manager, new insider trading software that tracks and analyzes trading in real-time and detects suspicious trades.
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Article
Plantronics decision calls for stricter vigilance in e-Discovery compliance
Living up to various e-Discovery requirements from different states and regulatory agencies means a comprehensive compliance digital record overhaul. David Bogoslaw reports.
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Blog
Credit Suisse to pay $90M for misrepresenting performance metric
Credit Suisse has agreed to pay a $90 million penalty and admit wrongdoing to the SEC to settle charges that the company misrepresented how it determined a key performance metric of its wealth management busines. Jaclyn Jaeger has more.
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Blog
Tenet Healthcare to pay $513M in kickback settlement
Tenet Healthcare and several of its subsidiaries today agreed to pay more than a combined $513 million to resolve criminal charges and civil claims relating to a scheme to pay kickbacks in return for patient referrals. Jaclyn Jaeger has more.
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Blog
Will Wells Fargo lead to more whistleblowing?
Tom Fox looks at expert opinion on whether the recent accounting scandal at Wells Fargo will be used to enhance whistleblower laws and regulations.
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Blog
Of soccer, cheating, and Sam Allardyce
The sacking of English football manager Sam Allardyce for explaining how to cheat at football to an undercover sting newspaper operation is an important reminder why the top of an organization sets the tone, says The Man From FCPA Tom Fox.
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Blog
Time for ‘Le Journal de Jérôme Kerviel, part deux?’
In 2008, Bruce Carton wrote about the saga of Jérôme Kerviel—a comic book that told the story of the then-31-year old junior trader who nearly brought down French bank, Société Générale, with his rogue trading. In light of more Kerviel-related events since 2008, is a sequel in order?
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Blog
California Treasurer suspends state's business with Wells Fargo
California State Treasurer John Chiang has suspended his state's financial relationships with Wells Fargo and, with a threat to blacklist the bank permanently, is demanding corporate governance reforms.
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Blog
Jane Norberg named chief of SEC's Office of Whistleblower
Yesterday, the SEC named Jane Norberg as the new Chief of the SEC’s Office of the Whistleblower. Norberg, previously the Acting Chief, fills the position left vacant when Sean McKessy left the agency this summer.
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Blog
The DoJ's view on what does—and doesn't—constitute meaningful cooperation
The Department of Justice’s Bill Baer provides the perspective needed to answer: What does, and what does not, constitute meaningful cooperation? Joe Mont reports.
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BlogWells Fargo CEO forfeits $41M; DOL launches labor law investigations
The latest developments in the ongoing Wells Fargo scandal: clawbacks, including a $41M hit for CEO John Stumpf; a Department of Labor investigation; and a new class-action lawsuit. Joe Mont has more.
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Article
Worried the SEC might come after you personally? You should be
Jaclyn Jaeger looks at yet another case brought by the SEC spotlighting the sort of conduct that can result in a personal liability claim against legal and compliance officers.