Following a year of new DOJ policies and guidance designed to incentivize companies to self-report misconduct and to cooperate with government investigations, the DOJ has added a new pilot whistleblower rewards program. In...more
3/19/2024
/ Artificial Intelligence ,
CFTC ,
Corporate Misconduct ,
Department of Justice (DOJ) ,
False Claims Act (FCA) ,
Pilot Programs ,
Popular ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers ,
White Collar Crimes
The U.S. Securities and Exchange Commission (SEC) and the U.S. Department of Justice (DOJ) brought actions against SpaceX engineer James Roland Jones for selling insider information on what’s known as the dark web....more
South Carolina-based consumer lender World Acceptance Corporation announced recently that it had earmarked $21.7 million to resolve a Securities and Exchange Commission (SEC) probe into its compliance with the Foreign Corrupt...more
6/3/2020
/ Anti-Bribery ,
Books & Records ,
Bribery ,
Consumer Lenders ,
Criminal Penalties ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Financial Services Industry ,
Foreign Corrupt Practices Act (FCPA) ,
Internal Investigations ,
Popular ,
Securities and Exchange Commission (SEC)
A federal grand jury in Chicago recently indicted high-frequency trader Michael J. Coscia for “spoofing,” making it the first criminal case ever brought under the Dodd-Frank Act’s rules against disruptive trading practices....more
10/6/2014
/ CFTC ,
Consent Order ,
Criminal Prosecution ,
Disruptive Trading Practices ,
Dodd-Frank ,
Enforcement Actions ,
High Frequency Trading ,
Indictments ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Spoofing