Getting to the Bottom of Whistleblower Complaints
Whistleblower complaints are on the rise and may gain further traction from recent stories in the news, increasing the burden ...
Tag: SEC
Ericsson Agrees to Pay Over $1 Billion to Resolve FCPA Case
DOJ Office of Public Affairs (December 6, 2019) -- Telefonaktiebolaget LM Ericsson (Ericsson or the Company), a multinational telecommunications company headquartered ...
Inconsistencies in FCPA Enforcement: Key Considerations for a Potential FCPA Voluntary Disclosure
In multiple recent cases, it seems the DOJ has softened its approach on charging self-disclosing companies for FCPA crimes involving ...
Regulatory Roundup: 10 Recent FINRA and SEC Violations and Penalties
Over the past year, the SEC and FINRA have been hard at work enforcing communications supervision compliance regulations throughout the ...
Barclays Agrees to Pay $6.3M FCPA Settlement
Michael Volkov details the recent FCPA settlement against Barclays for improper hiring practices stretching back several years. One key factor ...
What’s Next for Compliance Enforcement?
The 2005 docudrama Syriana captured the moment just before FCPA enforcement reached the great heights we’ve come to expect today. ...
Cybersecurity Responsibility Expands to Corporate Boards
The SEC has squarely placed the onus on corporate board members to take on greater cybersecurity oversight of the companies ...
Deutsche Bank Settles FCPA Case with SEC for $16 Million for Hiring Relatives of Public Officials
Deutsche Bank’s hiring practices in the Asia-Pacific region have exposed the institution to corruption risk, and SEC has taken note. ...
Whitepapers: Impact of Revenue Recognition Standards on Public Companies
Public companies based in the U.S. are choosing the less onerous (but riskier) of two possible methods for complying with ...
Protecting Privacy Rights While Preventing Financial Exploitation
Financial institutions must balance the desire to protect vulnerable clients from financial exploitation with their clients’ rightful expectation that their ...
What Financial Firms Must Do to Mitigate the Risks of Digital Communications
Emerging technologies are complicating compliance for financial services firms. Smarsh’s Robert Cruz, an expert on information governance and regulatory compliance, ...
Combating Regulation by Enforcement: A Strategic Framework for Responding to State Agency Overreach
State agencies are pushing the envelope with respect to their regulatory enforcement authority. Venable’s Randy Seybold and Andrew Kay explore ...
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- Jeffrey P. Carpoff and Paulette Carpoff January 24, 2020SEC Charges Husband and Wife with Nearly $1 Billion Ponzi Scheme
- Sergii "Sergey" Grybniak, Opporty International, Inc., and Clever Solution Inc. January 21, 2020SEC Charges Founder of Purported Blockchain Marketplace for Fraudulent Ico
- Guy Scott Griffithe, Robert William Russell, Renewable Technologies Solution, Inc., Green Acres Pharms, LLC, and SMRB, Defendants, and Sonja Marie Russell, Relief Defendant January 21, 2020SEC Files Charges Against Scheme to Sell Fictitious Interests in Marijuana Company
