All Government articles – Page 43
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ArticleNew FinCEN unit to focus on money laundering threats
FinCEN announced the launch of its newly created Global Investigations Division, with responsibility for targeting terrorist financing and money laundering threats, both domestically and internationally.
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Commissioners Jackson and Lee: A critical look at Regulation S-K
SEC Commissioners Robert Jackson and Allison Herren Lee have expressed concerns about the move toward principles-based requirements with Regulation S-K and advocated for more requirements to disclose climate risk.
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ArticleA glimpse into Greece’s first anti-corruption chief
Greece’s government has appointed Angelos Binis as its first ever anti-corruption chief to head the country’s newly created anti-corruption body, the Transparency Authority.
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Deal or no deal: PM promises Brexit on Oct. 31
Several recent decisions by new Prime Minister Boris Johnson suggest the United Kingdom will crash out of the European Union on the Oct. 31 deadline without a deal.
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ArticleNew Volcker rule eases restrictions on proprietary trading
The latest amendments to the Volcker rule, a regulation aimed at curbing banks from engaging in proprietary trading, seek to eliminate unnecessary complexity without thwarting the rule’s main objective.
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SEC settles with RSM over audit independence issues
The SEC has settled charges with RSM related to numerous auditor independence violations, spanning more than 100 audit reports across 15 clients.
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ArticleIs whistleblowing working? New claims raise questions
Sweeping, open allegations of fraud against major public companies raise fresh questions about the effectiveness of regulatory whistleblower programs.
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American Airlines to pay $22.1M over falsified mail delivery allegations
American Airlines has agreed to pay $22.1 million to resolve allegations of violations of the False Claims Act regarding the reporting of international delivery times.
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In Brexit gambit, U.K. signs legislation to ban EU laws
The repeal of the European Communities Act provides a “clear signal” that the U.K. government intends to leave the European Union without extending the Brexit deadline—with or without a deal.
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Cantor Fitzgerald, BMO Capital to pay $4.5M for mishandling ADRs
Brokers Cantor Fitzgerald and BMO Capital Markets will combine to pay more than $4.5 million to settle charges of improper handling of “pre-released” American Depositary Receipts.
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Avianca discloses internal FCPA investigation
Avianca Holdings disclosed in a securities filing that it is investigating possible violations of the U.S. Foreign Corrupt Practices Act concerning free and discounted airline tickets and upgrades given to government officials in certain countries.
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Fed wants real-time payments, settlements
The Federal Reserve is making an effort to develop a round-the-clock real-time payment and settlement service.
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ArticleData privacy vs. national security: Moving the conversation forward
Data privacy compliance and national security seem to be in opposition—with one coming at the expense of the other. It’s time to instead focus the conversation on identifying opportunities for the private sector and government to collaborate.
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ArticleAsia Pacific compliance: Five tips for practitioners based outside the region
Communicating the variances of Asian regulatory policies could mean the difference between progress or failure. One of our former Top Minds offers companies five tips for avoiding a regulatory disaster within a multinational organization.
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ArticleCFTC files charges over fraudulent binary options trading scheme
The CFTC is pursuing enforcement against five entities and four individuals for engaging in a fraudulent scheme to solicit global customers for the purported purpose of trading illegal, off-exchange binary options.
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ArticleRegulatory events coming this fall
Check out information on upcoming events from such regulators as the PCAOB, FDIC, SEC, DOJ, and more.
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Allscripts $145M settlement indicative of broader enforcement trend
Allscripts Healthcare Solutions has reached a $145 million agreement in principle with the DOJ to resolve civil and criminal investigations into violations of HIPAA and anti-kickback laws.
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SEC proposes to modernize Regulation S-K disclosures
The SEC is seeking comment on proposed amendments to modernize the description of business, legal proceedings, and risk factor disclosures that registrants are required to make under Regulation S-K.
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Ex-KPMG partner to pay $125K in insider trading case
A former KPMG partner charged by the SEC with insider trading has been ordered to pay a civil penalty of $125,000 and suspended from appearing or practicing before the Commission as an attorney or accountant.
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ArticleSFO cooperation guidance provides clarity on leniency
In recent guidance, the SFO for the first time has formally set out expectations essential to U.S.-type deferred prosecution agreements, but some say the low number of companies accepting criminal responsibility may negate the provision’s worth.