All Regulatory Enforcement articles – Page 125
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Blog
Trump administration ‘fired’ Preet Bharara
Attorney General Jeff Sessions over the weekend asked 46 U.S. Attorneys General who served under the Obama administration to immediately—and suddenly—tender their resignations, including Preet Bharara as U.S. Attorney for the Southern District of New York. Bharara refused to resign, announcing he was fired.
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What’s to come of the Pilot Program?
The countdown begins for when the compliance community will soon find out the fate of the Pilot Program initiated last year by the Criminal Division’s Fraud section. Until then, “the program will continue in full force until we reach a final decision on those issues,” Acting Assistant Attorney General Kenneth ...
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ZTE to pay combined $1.19 billion for violating U.S. trade sanctions
Telecommunications company ZTE has agreed to pay a record-high combined civil and criminal penalty of $1.19 billion, pending approval from the courts, for violating U.S. sanctions by sending U.S.-origin items to Iran.
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Continued fallout at Wells Fargo leads to board scrutiny
The Wells Fargo fraudulent account scandal still resonates as one of the most prime examples where the continued fallout from a board’s failure in the area of oversight of risk management is working to damage the organization.
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Uber and corporate culture
Does a company have to behave ethically to succeed? Perhaps not, as the recent ethical failures of Uber suggest. The company could be in hot water over its Greyball program, designed to thwart sting operations intended to catch Uber violating any taxi terms of services regulations.
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German Chancellor questioned in VW scandal
What did German Chancellor Angela Merkel know and when did she know it? A German parliamentary investigation seeks to uncover the truth about how much Merkel knew about diesel emissions standards and the VW case.
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Oliver Schmidt—not quite Sgt. Schultz
“I see nothing! I hear nothing! I know nothing!” seems to be the rallying cry of former head of emissions compliance in the U.S. for Volkswagen Oliver Schmidt, who claims during the VW scandal, “he was a minor player misled by company lawyers and information technology specialists.”
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In an era of reduced regulation, let’s not forget corporate integrity
Just because companies might face fewer rules doesn’t mean they have any less obligation to behave with ethical integrity, writes Exiger’s Daniel Alonso.
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SEC issues new guidance on ‘robo-advisers’
The Securities and Exchange Commission this week published information and guidance for investors and the financial services industry on the fast-growing use of robo-advisers. Jaclyn Jaeger has more.
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What U.S. companies are saying about U.S. trade policy
The Trump administration’s swift changes in trade policy are likely to complicate global trade management compliance for many businesses. Jaclyn Jaeger has more.
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SEC to host crowdfunding symposium
The Securities and Exchange Commission announced that it will host a crowdfunding symposium Feb. 28, covering research, challenges, opportunities, and the effects of securities-based crowdfunding on various market participants. Jaclyn Jaeger reports.
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SEC, NASAA sign info-sharing agreement for crowdfunding
The North American Securities Administrators Association, representing the interests of state securities agencies, and the Securities and Exchange Commission signed an information-sharing agreement as new rules to facilitate intrastate crowd-funding offerings and regional offerings take effect. Jaclyn Jaeger has more.
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Individual prosecutions as deterrence
Perhaps it’s not the penalties and fines, but rather the individual prosecutions that deter bad behavior. The Man From FCPA Tom Fox reports.
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The rise of a new Department of Justice: Reading the tea leaves
There is always a shake-up at the DoJ whenever a new Presidential administration takes over, but exactly what Trump has in store is still a mystery—not a large one, however, writes Jaclyn Jaeger.
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Blog
FTI Consulting launches Microsoft Office 365 legal and regulatory data services
FTI Technology, the technology segment of FTI Consulting, has teamed with Microsoft to provide data governance and discovery consulting and services for Microsoft Office 365 users. FTI Technology assists companies with a broad range of needs around Office 365 usage to ensure legal and regulatory activities remain cost-effective and defensible.
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Massive fraud at BT Italia—the work of a few rogue employees?
The BT Italia scandal involved failures at all three levels of defense in the fraud arena: management, internal audit, and outside auditors. The Man From FCPA Tom Fox explores.
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Introducing Tanium Integrity Monitor
Tanium this week announced the release of its Tanium Integrity Monitor to extend its capabilities in the area of regulatory compliance. The new offering follows the release last quarter of Tanium Comply, designed to help Tanium customers streamline the process of meeting regulatory requirements for security configuration and vulnerability scanning.
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Blog
Wells Fargo fallout: More board oversight of risk management?
The Wells Fargo fraudulent accounts scandal is enforcing a good trend: shareholder activism directed at the board for better risk management. Tom Fox reports.
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Article
Navigating anti-competition enforcement globally
Record fines, emerging enforcement priorities, and global collaboration among competition authorities are creating a host of legal and compliance risks for companies trying to navigate the global antitrust enforcement landscape. Jaclyn Jaeger has more.
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Yates’ exile from Justice Dept. could fuel corporate uncertainty
President Trump has fired Acting Attorney General Sally Yates over her opposition to a ban on Syrian refugees. Companies should pay close attention to aftershocks that could affect government prosecutions and FCPA enforcement, writes Joe Mont.