A recent executive order (EO) and Department of Justice (DOJ) policy statement issued in the first weeks of February signal a potentially dramatic shift in the DOJ's approach to enforcing the Foreign Corrupt Practices Act...more
2/19/2025
/ Compliance ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Enforcement Priorities ,
Executive Orders ,
Foreign Corrupt Practices Act (FCPA) ,
Multinationals ,
National Security ,
Policies and Procedures ,
Public Policy ,
Trump Administration
The Department of Justice's Criminal Division is "using more tools than ever before to identify corporate misconduct and to encourage companies to be good corporate citizens," according to Nicole Argentieri, Principal Deputy...more
10/9/2024
/ Artificial Intelligence ,
Chief Compliance Officers ,
Compliance ,
Compliance Monitoring ,
Corporate Misconduct ,
Department of Justice (DOJ) ,
Financial Institutions ,
Internal Controls ,
Know Your Customers ,
New Guidance ,
Risk Management
The SEC’s Division of Examinations got a head start this fiscal year, announcing its 2024 Examination Priorities (2024 Priorities) at the beginning of the fiscal year for the first time. This novel approach likely signifies...more
10/25/2023
/ Broker-Dealer ,
Compliance ,
Conflicts of Interest ,
Investment Adviser ,
Market Participants ,
Municipal Advisers ,
Regulation Best Interest ,
Retail Investors ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Transfer Agents