FINRA issues clarifying guidance on ‘extraordinary cooperation’ credit
By 
Jaclyn Jaeger2019-07-17T17:03:00
The Financial Industry Regulatory Authority has issued supplemental guidance clarifying how companies and individuals that demonstrate “extraordinary cooperation” in investigations can receive enforcement credit.
Related articles
-
Article
A closer look at the revised FCPA Corporate Enforcement Policy
The Department of Justice in recent months has made several notable revisions to its FCPA Corporate Enforcement Policy surrounding M&A, messaging apps, and much more.
-
ArticleCFTC issues enforcement advisory on self-reporting and cooperation
The Commodity Futures Trading Commission Division of Enforcement has issued an enforcement advisory that provides clarity concerning the benefits of self-reporting and cooperation related to violations of the Commodity Exchange Act involving foreign corrupt practices.
-
ArticleHow compliance officers can shape enforcement in 2019
Compliance officers and in-house counsel will increasingly be expected to play a leading role in the Justice Department’s efforts to combat fraud in all areas in 2019.
More from Regulatory Policy
-
PremiumEU moves to simplify GDPR and AI Act obligations, raising compliance questions for companies
For the past decade, Europe has led in creating strong but flexible rules for data use and safe AI development. The EU’s new plans to simplify key data privacy and AI governance measures have received a mixed response.
-
News BriefSEC exam priorities for 2026 signal heightened focus on firmwide compliance
The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations released its 2026 examination priorities, which give companies a roadmap of areas of heightened risk and regulatory focus for next year.
-
ArticlePharma sector boom puts pressure on compliance to counter financial crime
Regulation is a matter of life and death in the pharmaceutical industry. Rules to combat practices that can kill have been in force for decades, but tech developments are rapidly creating new risks and focusing lawmakers’ attention on areas where some compliance teams may lack experience.