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Enforcement Actions › Compliance Management Systems › Office of Foreign Assets Control (OFAC)

Thomas Fox - Compliance Evangelist

All Things Investigation: Sanctions Compliance Failures: Lessons from Harman International and Interactive Brokers

Thomas Fox - Compliance Evangelist on

The award-winning Compliance into the Weeds is the only weekly podcast that takes a deep dive into a compliance-related topic, literally going into the weeds to more fully explore a subject. Looking for some hard-hitting...more

Husch Blackwell LLP

The Justice Insiders Podcast - The Ever-Expanding Net: Corporate Compliance in an Era of Increasing Trade Sanctions and...

Husch Blackwell LLP on

Host Gregg N. Sofer welcomes Husch Blackwell partner Grant Leach to the program to discuss the burgeoning set of requirements and restrictions placed on U.S. businesses in connection with trade law. Gregg and Grant identify...more

Ballard Spahr LLP

ICBC Agrees to Two Consent Orders for Alleged BSA/AML Deficiencies and Disclosure of Confidential Supervisory Information

Ballard Spahr LLP on

Recently, the Industrial and Commercial Bank of China Ltd. (“ICBC”) entered into two consent orders. The first consent order is with the New York State Department of Financial Services (the “NYDFS”) for alleged deficiencies...more

Foodman CPAs & Advisors

What can trigger an OFAC investigation and what can an OFAC Investigation lead to?

Foodman CPAs & Advisors on

OFAC investigations are often triggered as a result of: • Reports that are generated by U.S. Financial Institutions which have blocked or rejected a transaction based on a suspected sanctions violation • A self-disclosure...more

Thomas Fox - Compliance Evangelist

Four Compliance Insights for 2020 and Beyond

Thomas Fox - Compliance Evangelist on

Compliance Convergence. In 2019 there were three significant releases of information by the federal government which directly impacted compliance professionals. Two came from the Department of Justice (DOJ) and one came from...more

The Volkov Law Group

Watching the River Flow: The Evolution and Future of Compliance (Part I of III)

The Volkov Law Group on

Bob Dylan, Watch the River FlowI have to admit it – I still love to listen to Bob Dylan.  With age, his lyrics resonate more and more.  HERE is a nice version of Watch the River Flow in case you want to listen while reading...more

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