Nancy Singer discusses why management must train employees to write concise, factual statements that will not be subject to misinterpretation and how to incorporate this practice into email and other forms of communication.
To get an idea about how complex a Financial Industry Regulatory Authority (FINRA) Arbitration can get, just consider this case caption…
On Wall Street there is supposed to be a winner for every loser — you know, two sides to every coin and a mirror image for every trade. However, seems that a couple of would-be alchemists thought that they found a way to circumvent the physics of trading. In the end, no cigar.
Will increasing revenue shortfalls faced by governments impact prosecutorial priorities? And how should those who assess risks take this into account in deploying C&E mitigation strategies for their companies?
Mark Mendelsohn (DOJ Deputy Chief, Fraud Section and the DOJ’s FCPA “top cop”) recently defended the 2008 Siemens enforcement action. This post takes issue with Mendelsohn’s defense of the Siemens enforcement action.
At first blush, this looked interesting. However, after reading the entire Panel Decision, I’m no longer blushing. Frankly, about the only reaction that I can summon up is: “What the hell was that all about?”
According to press reports, ‘Anthony Digati’ had invested about $50,000 into a variable life insurance policy sold by New York Life. Apparently, unhappy about not getting a nearly quadruple return on his investment, he opted for extortion.
How do you manage risk conservatively and transparently? Read on to learn the steps recommended by Andrea Belz that smart management teams and boards are implementing today.
It was reported this weekend that Daniel Alvirez, the President of ALS Technologies, Inc., is expected to plead guilty to charges of conspiracy to violate the FCPA set forth in a superseding indictment and cooperate in the government’s investigation.
On March 22nd, the Georgetown Journal of International Law will be hosting a symposium titled “Combating Global Corruption”. Panelists include a collection of FCPA practitioners, industry representatives, academics and enforcement officials.
