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Anti-Corruption Financial Services Industry

A&O Shearman

First DOJ Declination For FCPA Violations Since Renewed Enforcement Guidelines

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On August 7, 2025, the United States Department of Justice, Criminal Division, Fraud Section (“DOJ”) issued a declination letter to a U.S.-based insurance company (the “Company”) to resolve alleged violations of the Foreign...more

Thomas Fox - Compliance Evangelist

Daily Compliance News: July 22, 2025, The I-9 Hell Edition

Welcome to the Daily Compliance News. Each day, Tom Fox, the Voice of Compliance, brings you compliance-related stories to start your day. Sit back, enjoy a cup of morning coffee, and listen in to the Daily Compliance...more

Thomas Fox - Compliance Evangelist

10 For 10: Top Compliance Stories For the Week Ending June 7, 2025

Welcome to 10 For 10, the podcast which brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance brings to you, the compliance professional, the compliance stories you need to...more

Thomas Fox - Compliance Evangelist

10 For 10: Top Compliance Stories For the Week Ending May 17, 2025

Welcome to 10 For 10, the podcast which brings you the week’s Top 10 compliance stories in one podcast each week. Tom Fox, the Voice of Compliance brings to you, the compliance professional, the compliance stories you need to...more

Ropes & Gray LLP

New Case May Test the UK Bribery Act's 'Adequate Procedures' Defence

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On 17 April, the UK’s Serious Fraud Office (SFO) charged a UK-based insurance company, United Insurance Brokers Limited (UIB) with ‘failure to prevent bribery’ in connection with its international reinsurance activity in...more

K2 Integrity

[Webinar] FCPA & FEPA versus the Middle East – What can we expect in the coming year? - April 30th, 9:00 am ET

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Join our panel of experts for a one-hour session where they will discuss the impact of the halt on FCPA and FEPA enforcement by the Trump administration and what it means for the Middle East in terms of investigations and...more

Mayer Brown

UK Weekly Sanctions Update - Week of March 31, 2025

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In this weekly update, we summarise the most notable updates in the UK sanctions world....more

The Volkov Law Group

OFAC Settles with Individual for $45,179 for Violations of the Global Magnitsky Act

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OFAC means what it says — in more ways than one.  In a precedent setting case, OFAC brought its first enforcement action against an individual for violating the Global Magnitsky Sanctions Regulations....more

Mayer Brown

Launch of the Banking Industry Integrity Charter in Hong Kong

Mayer Brown on

Hong Kong’s new Banking Industry Integrity Charter (Integrity Charter) was launched on 9 October 2024 by the Independent Commission Against Corruption (ICAC) in collaboration with the Hong Kong Monetary Authority (HKMA) and...more

Skadden, Arps, Slate, Meagher & Flom LLP

DOJ Pilot Program Promises Non-Prosecution Agreements to Individuals Reporting Fraud, Bribery and Other Corporate Crimes

On April 15, 2024, the Department of Justice’s (DOJ’s) Criminal Division unveiled a new Pilot Program on Voluntary Self-Disclosures for Individuals that offers non-prosecution agreements (NPAs) to individuals who voluntarily...more

Ballard Spahr LLP

The American Front in Russia’s War on Ukraine: DOJ’s “Task Force KleptoCapture” Continues Focus on Operations of Sanctioned...

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We previously have blogged on actions taken by the DOJ’s “Task Force KleptoCapture,” an interagency law enforcement task force with a mandate to target sanctioned Russian and pro-Russian oligarchs. While explicitly launched...more

Epstein Becker & Green

FTC Makes Case for Increased Enforcement

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The Federal Trade Commission (FTC) recently provided testimony to the House Committee on Appropriations, Subcommittee on Financial Services and General Government concerning its fiscal year (FY) 2024 budget request....more

Cadwalader, Wickersham & Taft LLP

Tri-Seal Compliance Note Warns of Sanctions Evasion

On March 2, the Department of Commerce, Department of Justice, and Department of the Treasury issued a Tri-Seal Compliance Note warning companies to be vigilant for Russia-related sanctions evasion. The Note sets forth a...more

American Conference Institute (ACI)

[Event] Summit on Anti-Corruption & Compliance Programs - March 22nd - 23rd, Mexico City, Mexico

Hosted by American Conference Institute, the Mexico Summit on Anti-Corruption & Compliance Programs returns for another exciting year with curated programming that shines a global spotlight on anti-corruption compliance...more

Skadden, Arps, Slate, Meagher & Flom LLP

Skadden’s 2023 Insights – Five Critical Areas for the Year Ahead

The pandemic’s impact may be subsiding, but businesses are encountering new challenges across the globe, including the potential for an economic retrenchment, rising interest rates, shifting regulatory and litigation...more

McDermott Will & Schulte

[Webinar] 2022 Enforcement Outlook Webinar Series - Managing AML Risk Under Heightened Scrutiny - May 10th, 12:00 pm - 1:00 pm EDT

To help you stay up-to-date on the enforcement trends impacting your organization’s compliance strategy, McDermott is pleased to invite you to the 2022 Enforcement Outlook webinar series, which covers key areas of enforcement...more

Morrison & Foerster LLP

Top 10 International Anti-Corruption Developments for February 2022

Designed for busy in-house counsel, compliance professionals, and anti-corruption lawyers, this newsletter summarizes some of the most important international anti-corruption developments from the past month, with links to...more

Hogan Lovells

Gratification control on financial services sector

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In the implementing of one of its duties to prevent corruption from happening in Indonesia, the Corruption Eradication Commission (KPK) as Indonesian Corruption Watchdog issued Circular Letter No. 19 of 2021 regarding...more

Morrison & Foerster LLP

UK Quarterly Review: Business Crime, Investigations, And Regulatory Enforcement - June 2021

In our Quarterly Review, we bring you important UK developments relating to business crime, investigations, and regulatory enforcement from the last three months. With this month marking half a year since the UK left the EU,...more

Hogan Lovells

Financial institutions general regulatory news, April 2021 # 4

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Financial Services Act 2021 receives Royal Assent - The Financial Services Bill 2019-21 has received Royal Assent. Among other things, the Financial Services Act 2021...more

Society of Corporate Compliance and Ethics...

[Virtual Event] Compliance Solutions Across Industries - June 9th, 8:55 am - 4:30 pm CDT

Compliance Solutions Across Industries - Are you looking to: - Create a stronger compliance program for your organization? - Explore key takeaways from recent international and domestic enforcement actions? -...more

Proskauer Rose LLP

Regulation Round Up - July 2020

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30 July - The Financial Conduct Authority (“FCA”) updated its webpage on the High Court business interruption insurance test case. The Prudential Regulation Authority (“PRA”) published a consultation paper (CP11/20)...more

Mitratech Holdings, Inc

Reduced Cost and Enhanced Impact: Embedding Compliance in BAU

Compliance management has moved from being a nice to have, to an absolute need to have. For many organizations, it is part of business-as-usual (BAU). The scale and scope of compliance frameworks across the world have grown,...more

Society of Corporate Compliance and Ethics...

US targets Iranian financial services firm

Report on Supply Chain Compliance 3, no. 11 (May 28, 2020) - The U.S. Department of Justice indicted an Iranian national, Seyed Sajjad Shahidian, for helping Iranian businesses buy goods from the U.S. through his firm,...more

BCLP

2020 Funds First Update - February 2020

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Welcome to our Funds First Update. In this briefing we set out an overview of some of the main developments and upcoming changes that we think will be of impact to fund managers, fund investors and to the funds sector as a...more

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