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
Companies and their executives can reduce Department of Justice (DoJ), OFAC, and Commerce Department risks (and liability) by understanding and respecting the relationship between economic sanctions, voluntary...more
4/11/2024
/ Compliance ,
Corporate Misconduct ,
Department of Homeland Security (DHS) ,
Economic Sanctions ,
Enforcement ,
Federal Trade Commission (FTC) ,
Fines ,
National Intelligence Agencies ,
National Security ,
Office of Foreign Assets Control (OFAC) ,
Remediation ,
Reputational Injury ,
Retaliation ,
Risk Mitigation ,
Sanction Violations ,
Self-Disclosure Requirements ,
U.S. Commerce Department ,
Voluntary Disclosure ,
Whistleblower Protection Policies ,
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
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