Criminal Prosecution, Fraud, Internal Controls

UK Failure to Prevent Fraud Offence to Come into Force - Is Your Organisation Prepared?

WilmerHale on 8/26/2025

The new strict liability corporate criminal offence of Failure to Prevent Fraud (FTPF) comes into effect in England and Wales on 1 September 2025. ...more

United States Department of Justice and United States Securities and Exchange Commission Jointly Target FAT Brands, Its Founder,...

Lathrop GPM on 6/7/2024

On May 10, 2024, the DOJ announced criminal indictments and the SEC filed a civil lawsuit for alleged securities fraud against FAT Brands and related persons....more

Rockwell Automation Executives Arrested for Fraudulent Scheme

The Volkov Law Group on 11/10/2021

Little problems can become big ones. A failure to respond to a risk – whether it is a conflict of interest violation or a weakness in internal controls – can become even more significant depending on the size and scope of...more

Hong Kong’s Securities and Futures Commission (SFC) Enforcement Actions Trends and Tracker (UPDATED)

A&O Shearman on 6/16/2021

The SFC's latest annual and quarterly reports highlight the SFC's regulatory work since April 2019 and illustrate some key trends in its enforcement agenda. ...more

Compliance Perspectives: The Latest from the Fraud Section at the US Department of Justice

Society of Corporate Compliance and Ethics... on 11/5/2020

In the latest episode of the Compliance Perspectives podcast we are joined by Daniel Kahn, the Acting Chief of the Fraud Section at the Department of Justice. We begin the conversation with a discussion of the latest...more

Bond Fraud Trial Shows Need to Scrutinize Municipal Revenue Generation

Farella Braun + Martel LLP on 5/22/2017

Ramapo, N.Y., Town Supervisor Christopher St. Lawrence is in the middle of a multi-week trial on two dozen securities fraud charges stemming from municipal bond issuances and accounting practices in Ramapo, a Rockland County...more

Executive Assistant Embezzles $1 Million from Hewlett Packard; as yet, SEC Doesn’t Care

Brooks Pierce on 9/8/2015

Surely you remember the SEC’s case against Polycom from this spring. In it, the SEC alleged that Polycom CEO Andrew Miller had “created hundreds of false expense reports with bogus business descriptions for his personal use...more

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