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 ...
Tag: SEC
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 ...
With Redefined Risks, GCs Must Redefine Their Role
New global research from Morrison & Foerster reveals that GCs want to be evaluated on how effectively they protect their ...
FinCEN Guidance: Crypto Firms Take Notice
Trading regulations on CVCs are due for a refresher course from FinCEN in light of recent penalties against a P2P ...
Intelligize: No-Action Letter Citation – Analyzing Excluded Shareholder Proxy Proposals
More than half of all shareholder proxy proposal exclusions allowed by the SEC are based on Rules 14a-8(i)(7) and 14a-8(i)(10), according ...
How Does a Compliance Officer Blow the Whistle – And What Happens Then?
Compliance officers eligible to participate in the SEC and CFTC whistleblower programs must navigate strict rules. Speaking up always carries ...
- Philip R. Jacoby, et al. October 17, 2019SEC Obtains Final Judgment Against Former Executive Charged with Lying to Auditors
- Michael J. Starkweather and Andiamo Corporation, William White October 17, 2019SEC Charges Microcap Company and Two Former Chief Executive Officers with Securities Violations
- Kevin B. Merrill, et al. October 16, 2019Alleged Fraudster Sentenced to 22 Years in Parallel Criminal Case
