Tag: SEC

Jeff Kaplan and Rebecca Walker inaugurate what will be a regular column on compliance & ethics program assessments. Most of ...

In multiple recent cases, it seems the DOJ has softened its approach on charging self-disclosing companies for FCPA crimes involving ...

In the fast-moving world of cybersecurity, predicting the full threat landscape is near impossible. But it is possible to extrapolate ...

Michael Volkov details the recent FCPA settlement against Barclays for improper hiring practices stretching back several years. One key factor ...

The 2005 docudrama Syriana captured the moment just before FCPA enforcement reached the great heights we’ve come to expect today. ...

The SEC has squarely placed the onus on corporate board members to take on greater cybersecurity oversight of the companies ...

The regulatory technology (regtech) scene is exploding – last year, global regtech investment surpassed $1 billion. This tech can help ...

Resulting Settlements and Remedial Measures Brazilian oil and gas giant Petrobras has entered into a series of settlements in closing ...

Deutsche Bank’s hiring practices in the Asia-Pacific region have exposed the institution to corruption risk, and SEC has taken note. ...

Financial institutions must balance the desire to protect vulnerable clients from financial exploitation with their clients’ rightful expectation that their ...

The History of FCPA Enforcement, Part 1 Anne Eberhardt, Senior Director at Gavin Solmonese and an expert in FCPA, forensic, ...

Key Controls on Web Use to Avoid Regulatory Scrutiny For regulated investment firms, the SEC has prioritized cybersecurity, governance and ...