By Stephen King, legal senior director & chief compliance investigator, PepsiCo, Andrew Gaillard, assistant general counsel, U.S. compliance investigations, Pfizer, James Finnerty, SVP, associate deputy global anti-money laundering officer - United States, TD Bank, Moderator: Bruce Carton, featured columnist, Compliance Week 2019-01-15T14:24:31.257+00:00
New internal guidance from the U.K. Serious Fraud Office outlines what the regulator considers in determining if a company’s compliance procedures are adequate enough to defend against U.K. Bribery Act charges or qualify for a deferred prosecution agreement.
Park Strategies will pay a relatively tame $12,150 to settle apparent OFAC violations, though the behavior of the lobbying firm’s executives was listed as an aggravating factor in the case.
The SEC has brought charges against Hill International, its former chief accounting officer, and a former senior accountant for engaging in accounting fraud and disclosure violations at the construction management consulting firm.