Saves Lives, Prevents Major Crimes, and Accelerates Voluntary Self -
Disclosures The U.S. Department of Justice (“DoJ”) recently spotlighted its Whistleblower Awards Program and Voluntary Self Disclosure (“VSDs”)...more
10/24/2024
/ CFTC ,
Compliance ,
Corporate Misconduct ,
Department of Justice (DOJ) ,
Equal Employment Opportunity Commission (EEOC) ,
IRS ,
National Security ,
Office of Foreign Assets Control (OFAC) ,
Penalties ,
Pilot Programs ,
Regulatory Agencies ,
Retaliation ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Self-Disclosure Requirements ,
Third-Party ,
Voluntary Disclosure ,
Whistleblowers
Since December 2021, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) have levied almost $3.0 billion in penalties for longstanding failures by 39 broker-dealers, swap dealers,...more
3/7/2024
/ Anti-Money Laundering ,
Banking Sector ,
Bribery ,
Broker-Dealer ,
CFTC ,
Corruption ,
Customer Due Diligence (CDD) ,
Department of Justice (DOJ) ,
Digital Assets ,
Economic Sanctions ,
Electronic Communications ,
Enforcement Actions ,
Ethics ,
Evasion ,
Fraud ,
Investment Adviser ,
National Security ,
Office of Foreign Assets Control (OFAC) ,
Penalties ,
Policies and Procedures ,
Recordkeeping Requirements ,
Regulatory Standards ,
Securities ,
Securities and Exchange Commission (SEC) ,
Swap Dealers
Roundtable Discussion: Off-Channel Communications and Mobile Surveillance Policies -
Surveillance, monitoring, escalation, and reporting are critical components to regulatory compliance and risk management. So is...more
5/24/2023
/ Banks ,
Business Roundtable ,
Compliance ,
Cybersecurity ,
Department of Justice (DOJ) ,
Financial Institutions ,
Mobile Devices ,
Penalties ,
Policies and Procedures ,
Risk Management ,
Surveillance ,
Swap Dealers
As the Russia – Ukraine war rages on, one outcome so far is clear: the Western nations remain aligned and united to confront Russian aggression. The West’s synchronized, roll-out of economic and trade sanctions against...more
1/10/2023
/ Bribery ,
CFIUS ,
Compliance ,
Corruption ,
Cyber Crimes ,
Department of Justice (DOJ) ,
Economic Sanctions ,
Financial Institutions ,
Foreign Banks ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
Military Conflict ,
Money Laundering ,
Office of Foreign Assets Control (OFAC) ,
Popular ,
Risk Management ,
Russia ,
Securities and Exchange Commission (SEC) ,
Ukraine
Eric T. Young and Alixandra Smith, deputy chief of the Criminal Division at the U.S. Attorney’s Office for the Eastern District of New York, continue their discussion about the Department of Justice’s expectations of...more
Eric T. Young welcomes Alixandra Smith, a deputy chief of the Criminal Division at the U.S. Attorney’s Office for the Eastern District of New York. The two discuss the Department of Justice’s renewed approach about corporate...more
Despite an industry uproar, the sky is NOT falling with the U.S. Department of Justice (“DoJ”) requirement that chief executive officers (“CEOs”) and chief compliance officers (“CCOs”) certify that their compliance programs...more
6/30/2022
/ Anti-Corruption ,
CEOs ,
Certifications ,
Chief Compliance Officers ,
Compliance ,
Corporate Culture ,
Corporate Governance ,
Criminal Prosecution ,
Department of Justice (DOJ) ,
Foreign Corrupt Practices Act (FCPA) ,
White Collar Crimes