All articles by Jaclyn Jaeger – Page 72
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Article
More companies exiting third-party vendor relationships
An increasing number of companies expect to exit or change relationships with their third-party vendors due to heightened risk levels, finds a newly released vendor risk management benchmark report.
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ArticleFacilitation payments now illegal in Canada
Now that facilitation payments under Canada’s anti-corruption law are officially illegal, any company doing business within Canadian jurisdiction needs to adjust its compliance policies and procedures accordingly.
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Blog
CFTC releases annual enforcement results for FY 2017
The Commodity Futures Trading Commission brought 49 enforcement-related actions in the fiscal year that ended Sept. 30, 2017, including significant actions to root out manipulation and spoofing and to protect retail investors from fraud, according to the agency’s enforcement results for FY 2017.
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Blog
European Medicines Agency publishes Brexit guidance for pharma companies
The European Medicines Agency has published additional guidance for pharmaceutical companies to help them prepare for the United Kingdom’s withdrawal from the European Union.
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Blog
OECD: Brexit to weaken U.K. economic growth
The Organisation for Economic Co-operation and Development projected that Britain’s exit from the European Union will result in a sharp slowdown in economic growth in the United Kingdom.
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Blog
Turmoil reigns at CFPB after Cordray resigns
As both the CFPB itself and the White House clash over who runs the agency in the wake of Director Richard Cordray’s resignation, compliance officers should brace for one of the Trump administration’s uglier legal battles.
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Blog
Pharmacy compliance director pleads guilty over mislabeled drugs
The former director of compliance for a compounding pharmacy company pleaded guilty last week to introducing adulterated drugs into interstate commerce and conspiracy to defraud the United States by obstructing the Food and Drug Administration’s lawful functions.
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Blog
FINRA fines J.P. Morgan $1.25M for failing to screen thousands of employees
The Financial Industry Regulatory Authority fined J.P. Morgan Securities $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600—or 95 percent—of its non-registered employees, in violation of federal securities laws.
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Blog
European Banking Authority to move to Paris
The European Banking Association will move to Paris, France, in light of the U.K.'s intention to withdraw from the European Union.
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Blog
European Medicines Agency to relocate to Amsterdam
The European Medicines Agency, which has been based in London since its establishment in 1995, will move to Amsterdam, the Netherlands. The need to relocate is a consequence of the U.K.’s withdrawal from the European Union.
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Article
How compliance can demonstrate return on investment
CCOs shared how they demonstrate to senior leaders and board members the compliance program’s return on investment during the recent virtual compliance conference.
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Article
Using metrics to gauge corporate culture
At a recent ethics and compliance virtual conference, ethics officers shared their approaches for gathering and using metrics to gauge corporate culture.
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Blog
Senate once again passes bill to protect whistleblowers in antitrust cases
The U.S. Senate has unanimously passed the Criminal Antitrust Anti-Retaliation Act to extend whistleblower protection for employees who provide information to the Department of Justice related to criminal antitrust violations. The bipartisan measure has passed the Senate the past two Congresses, but has yet to be taken up by the ...
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Blog
Obsidian Energy to pay $8.5M for accounting fraud charges
Obsidian Energy said it has reached an $8.5 million settlement with the U.S. Securities and Exchange Commission to resolve accounting fraud charges filed earlier this year.
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Blog
SFO charges two in Unaoil investigation
The U.K. Serious Fraud Office this week charged two individuals in relation to the ongoing Unaoil investigation.
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Blog
Walmart sets aside $283M for FCPA resolution
Walmart-Stores has recorded an aggregate accrual of $283 million concerning the possible resolution with U.S. enforcement authorities of a longstanding Foreign Corrupt Practices Act case.
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Blog
Kokesh impacting SEC enforcement program
The U.S. Supreme Court's ruling in the case Kokesh v. SEC was a significant decision that has already had an impact on many parts of the Securities and Exchange Commission's enforcement program, according to a senior SEC enforcement official.
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Blog
Wells Fargo Securities names co-heads of Investment Banking Coverage
Wells Fargo Securities, the investment banking and capital markets business of Wells Fargo & Company, has named John Hudson and Kristin Lesher as the new co-heads of Investment Banking Coverage, effective immediately.
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Blog
CBI: Adoption of existing technologies will solve productivity problems in U.K.
CBI, the U.K.’s leading business group, finds that the slow adoption of existing technologies and management practices is fueling the U.K.’s deep-seated productivity problems, creating disparities in productivity and pay among businesses.
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Article
Employee amnesty programs: Strategic move or act of desperation?
Employee amnesty programs are a successful investigative tactic to get to the bottom of ethics and compliance lapses. So why don’t more compliance programs offer them?