All Regulatory Enforcement articles – Page 135
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Blog
SEC charges two companies in whistleblower cases
For the first time ever, the SEC yesterday charged a company for retaliating against an internal whistleblower. It also marks the second enforcement action this week against a company that impeded an employee from communicating with the SEC. Jaclyn Jaeger reports.
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Forest Labs to pay $38M for False Claims Act violations
Forest Laboratories and its subsidiary, Forest Pharmaceuticals, have agreed to pay $38 million to resolve allegations that they violated the False Claims Act by paying kickbacks to induce physicians to prescribe its drugs. Jaclyn Jaeger has more.
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When the regulators fail
Tom Fox looks at an untapped area of concern with the Volkswagen emissions scandal: Why did no EU regulator catch on earlier?
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Study shows effects of whistleblowers on enforcement
The Man From FCPA Tom Fox explores a recent academic study that found a link between information provided by whistleblowers and “heightened enforcement outcomes.”
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Did Wells Fargo Give Prudential a Black Eye?
Tom Fox epxlores how the business relationship between Prudential and scandal-ridden Wells Fargo put Prudential in hot water.
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SEC enforcement director Ceresney to depart agency this month
The SEC announced today that Enforcement Director Andrew J. Ceresney will leave the agency by the end of this month. Ceresney has served as Enforcement Director (or Co-Director) since joining the SEC in April 2013. Deputy Director Stephanie Avakian will serve as Acting Director upon Ceresney’s departure,.
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Under the FCPA, 'anything of value' means precisely that
A recent U.S. Supreme Court decision makes it very clear that when it comes to issues of potential bribery, absolutely anything that could be considered as having value is fair game as a potential agent of corruption. Tom Fox reports.
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Comment letters with no response
Nobody likes to get a comment letter from the SEC, but what happens when you don’t respond or comply with one? Mercedes Erickson has the answers.
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Who watches the watchers?
The recent enforcement action against Big Four accounting firm Deloitte and its Brazilian arm details what happens when an auditor is willing to lie to the government and alter work papers on behalf of a client. But what might it be willing to do to hide bribery and corruption, asks ...
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Special ‘chairman’s flight’ leads to SEC action against United Airlines
Bruce Carton reports on the SEC’s case against United Airlines, which reportedly reinstated a money-losing non-stop flight “solely to curry favor with a public official.”
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SEC enforcement trends to watch in 2017
Jaclyn Jaeger recaps a record-breaking year for SEC enforcement activity, and what to expect in the year ahead.
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Ready for Justice Department scrutiny of your compliance program?
Nobody wants the Department of Justice to take a critical look at their compliance program. But Gejaa Gobena has some tips for how to survive the process.
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Compliance on the VW board
Tom Fox explores the case of Hans Dieter Pötsch, chairman of the VW supervisory board, who could be held responsible if German prosecutors find the board had actual knowledge, but failed to keep shareholders abreast, of the emissions-testing scandal and its potential costs.
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Use of data in a best practices compliance program
Tom Fox discusses how data must be continually managed, tested, and recalibrated within an organization for it to be fully effective.
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SEC trial scorecard update: Agency starts FY 2017 with victory
Following its victory last week in an insider trading case in California, the SEC is off to a 1-0 start in its FY 2017 federal court trials.
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Navigating the risks of individual accountability for corporate wrongdoing
How can directors and officers better protect themselves and their organizations in a post-Yates Memo era of accountability? Kevin Hyams has some answers.
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Final trial scorecard for FY 2016: SEC goes 4-1-1 in 6 trials
For the second straight year, the SEC litigated six federal court trials. This year, however, the SEC finally lost a trial -- albeit with an asterisk.
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Hiring practices trigger $264 million in FCPA fines for JPMorgan
JPMorgan Chase will pay more than $130 million to settle FCPA violations related to hiring the friends and families of government officials in Asia. Joe Mont has more.
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Regulators send a perverse message by using our compliance programs against us
The degree to which organizations’ compliance programs are being used against them by regulators is creating a perverse incentive system, writes Joe Murphy.
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Don’t worry—the need for compliance officers trumps deregulation
Just because Donald Trump suggested getting rid of a host of federal regulations doesn’t mean that there won’t be a need for compliance. More from Jaclyn Jaeger.