Financial Institutions, Financial Services Industry, Foreign Corrupt Practices Act (FCPA)

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

Thomas Fox - Compliance Evangelist on 6/7/2025

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

Barclays Agrees to Pay the SEC $6.3 Million to Settle FCPA Offenses for Hiring of Relatives of Foreign Officials in Asia

The Volkov Law Group on 10/1/2019

Barclays joined the club of global financial institutions settling FCPA violations for hiring of relatives of foreign officials in Asia. Barclays agreed to disgorge $3.8 million and paid prejudgment interest of nearly $1...more

Two Intertwined FCPA Enforcement Actions: SocGen and Legg Mason

Thomas Fox - Compliance Evangelist on 6/6/2018

The Department of Justice (DOJ) announced two Foreign Corrupt Practices Act (FCPA) enforcement actions earlier this week and the intertwined nature of these two enforcement actions informs today’s blog post....more

Lawyers and Culture in the Financial Services Industry

The Volkov Law Group on 3/27/2017

The rise of the compliance profession has had a number of positive impacts on the corporate governance landscape. One of the most important results has been increased focus on corporate culture....more

Signs, Signs, Everywhere a Sign: Changes in Store for SEC Enforcement under the Trump Administration

Cadwalader, Wickersham & Taft LLP on 3/7/2017

Even before President Trump’s nomination of Jay Clayton as the next Chairman of the Securities and Exchange Commission (“SEC” or “Commission”), signs have been appearing that changes are afoot within the Division of...more

Will Blockchain Transform Compliance?

Thomas Fox - Compliance Evangelist on 3/1/2017

I recently read an article in the MIT Sloan Management Review, entitled “How Blockchain Will Change Organizations”, where authors Don Tapscott and Alex Tapscott speculate that the transformations which blockchain may...more

The European, Middle Eastern and African Investigations Review 2016: United Kingdom: handling internal investigations

WilmerHale on 7/13/2016

With so much potentially at stake, the initial steps and strategic decisions taken in any company investigation are critical to setting the tone for a focused, credible and effective inquiry. This is paramount not only for...more

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