All United States articles – Page 172
-
Article
Ethics and compliance tips for charting a path in uncharted times
A panel of experts speaking at Compliance Week’s 2020 Virtual Conference share helpful tips for chief ethics and compliance officers on how to lead successfully in a time of great uncertainty.
-
Article
Morningstar to pay $3.5M for conflicts of interest violations
Morningstar Credit Ratings has agreed to pay $3.5 million to settle SEC charges for violating a conflict of interest rule designed to separate credit ratings and analysis from sales and marketing efforts.
-
Article
Former UN ambassador Power’s message to CCOs: ‘Don’t be silenced’
Speaking at the Compliance Week 2020 virtual conference, former UN Ambassador Samantha Power offered advice on how to address abuses happening during the pandemic and praised the upsurge in strong female leadership around the world.
-
Article
Sanctions guidance: Best practices for maritime, energy, metals sectors
A global advisory to alert the maritime, energy, and metals sectors about common deceptive shipping practices used to evade sanctions includes seven sanctions compliance best practices to mitigate risk.
-
Article
AdvaMed issues pandemic compliance guidance for med-tech
The Advanced Medical Technology Association has released new compliance guidance for medical-technology companies to guide them in mitigating compliance and corruption risks as they help healthcare providers fight coronavirus.
-
Article
Nine AGs sue EPA over non-enforcement policy
A coalition of nine attorneys general filed a federal lawsuit against the EPA in response to the agency’s policy that it will stop enforcing requirements under a wide range of federal environmental laws during the coronavirus pandemic.
-
Article
Driving innovation in supply-chain practices post-pandemic
A number of forward-thinking companies are using the coronavirus pandemic as an opportunity to drive promising innovations in their global supply chains.
-
Article
SEC charges Ambassador Advisors compliance chief for breaching fiduciary duties
The SEC charged Ambassador Advisors and its principals—including its chief compliance officer—with breaches of fiduciary duty arising out of its mutual fund share-class selection practices.
-
Article
SEC: Enforcement efforts still extend beyond coronavirus
Steven Peikin, co-director of the SEC’s Enforcement Division, said while coronavirus-related matters remain a top priority for the agency, “our other priorities also remain in place.”
-
Article
SEC, DOJ ordered to review RBS whistleblower’s claim on $4.9B settlement
A federal appeals court ordered two federal agencies to review the whistleblower claims of a former Royal Bank of Scotland employee who is seeking a slice of a nearly $5 billion settlement.
-
Article
Why compliance culture must lead in return from coronavirus
Is managing our return to the workplace a job for the compliance department? The better question may be how can we get all employees to serve the wider compliance effort, writes Martin Woods.
-
Article
Ex-Walmart lawyer alleges ‘retaliatory’ firing for Mexico report
A former member of Walmart’s legal team is suing the retail company for what he alleges was a “retaliatory, negligent, and careless” investigation ultimately resulting in wrongful termination.
-
Article
PCAOB inspection pause ends without extension
The Public Company Accounting Oversight Board announced the conclusion of its coronavirus-related 45-day relief period on audit inspections without an extension.
-
Article
MiMedx names new accounting chief post fraud settlement
Biotech company MiMedx Group, which last November settled an alleged case of accounting fraud with the SEC, announced the appointment of William Phelan as senior vice president and chief accounting officer.
-
Article
Analysis: The problem with keeping a secret
You can’t hide behind the numbers, as numerous banks, including Bank Hapoalim, found out recently when rampant tax evasion took hold in Switzerland.
-
Article
Rewriting the cyber-compliance playbook
Former U.S. deputy attorney general Rod Rosenstein provides some best practices companies can employ in their fight against a new era of cyber-crime.
-
Article
World Acceptance sets aside $22M to resolve SEC FCPA probe
World Acceptance Corporation announced it has recorded an aggregate accrual of $21.7 million to resolve an SEC investigation into alleged violations of the Foreign Corrupt Practices Act.
-
Article
How audit committees should prep for coronavirus challenges
Hille Sheppard of Sidley Austin offers some insights into what tactics audit committees should employ to confront uncertainties caused by the coronavirus pandemic.
-
Article
Justice Department to recover more than $49M involving 1MDB
The Department of Justice reached a settlement to recover more than $49 million in assets associated with the international money laundering and bribery scheme involving Malaysia’s state development fund 1MDB.
-
Article
Alexion nears $25M settlement with SEC in FCPA probe
Alexion Pharmaceuticals said in a regulatory filing that it is nearing a $25 million settlement with the Securities and Exchange Commission concerning an investigation into the company’s compliance with the Foreign Corrupt Practices Act spanning various countries.