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Fines Corporate Governance

Dacheng

Personal Liability under China’s Anti‑Monopoly Law: Administrative Fines, Civil Litigation, and Criminal Sanctions

Dacheng on

In the past half year of 2025, China’s antitrust watchdog has imposed fines on 11 individuals for antitrust violations, including sole proprietors, senior executives, and employees involved in cartels or obstruction of...more

DLA Piper

DOJ’s Revised Policy on Crediting Fines: Emphasis on Victims

DLA Piper on

Without fanfare, the Department of Justice (DOJ or the Department) has published a memorandum revising its policy on when – and how – it will give credit to companies for fines and other payments made to other agencies,...more

A&O Shearman

PRA fines former notified non-executive director of Wyelands Bank

A&O Shearman on

The UK Prudential Regulation Authority (PRA) has fined a former non-executive director of Wyelands Bank GBP72,000 for failing to act with due skill, care and diligence in connection with regulatory failings previously...more

A&O Shearman

New U.K. regulatory landscape: enforcement and supervision shift

A&O Shearman on

This article examines the latest trends in U.K. regulatory enforcement and supervisory action and highlights the key takeaways for firms in 2025 and beyond. Over the past 18 months, the Financial Conduct Authority (FCA)...more

Health Care Compliance Association (HCCA)

Disclosure of Full Record to Employer Results in $35K Fine, Broad CAP; Echoes of 2017 HIV Case

It’s not immediately obvious why someone would want to disclose a health care test result as part of a job application. But one such request spurred a Pennsylvania entity to provide a lot more than that: it sent her whole...more

Keating Muething & Klekamp PLL

SEC Fines Four Companies $7M for Violating Cyber Disclosure Rules

On October 22, 2024, the Securities and Exchange Commission charged four companies with making materially misleading disclosures about their cybersecurity risks. Each of the companies—Unisys Corp., Avaya Holdings Corp., Check...more

White & Case LLP

Lessons Learned from DOJ’s First Money Laundering Plea by a Major Financial Institution

White & Case LLP on

On October 10, TD Bank pleaded guilty to violations of the Bank Secrecy Act and conspiracy to commit money laundering. The plea agreement outlines the facts that led to the charges and the consequences the Bank and its parent...more

NAVEX

Understanding the NIS2 Directive: What it Means for Cybersecurity in the EU

NAVEX on

You might have yet to hear of the NIS2 Directive, but you should be aware of it if you’re in any sector that relies on digital infrastructure. Whether you’re a business owner, IT professional, or curious about how the EU...more

Conyers

Handling a Cayman Islands Regulatory Administrative Fine

Conyers on

Since the enactment of the Monetary Authority (Administrative Fines) (Amendment) Regulations (2022 Revision) (the “Fines Regulations”), the Cayman Islands has witnessed a continuous increase in the number of administrative...more

White and Williams LLP

A Changing Climate: the Rising Tide of ESG Liability and Implications for D&O Coverage

The latest legal buzzword, ESG, represents the environmental, social and governance factors that many corporations are now required to consider and disclose alongside traditional financial information such as operating...more

Thomas Fox - Compliance Evangelist

HorrorFest 2020 Celebration: The Revenge of Frankenstein and the J&F FCPA Resolution

In this third edition of October HorrorFest 2020 celebration we consider the first Hammer film sequel (and second in the series) – The Revenge of Frankenstein which was released in 1958. It begins as the Curse of Frankenstein...more

Pillsbury Winthrop Shaw Pittman LLP

Registration and Compliance Obligations are Reality for Private Funds in the Cayman Islands

New law imposes registration and compliance obligations on private funds that carry on business in or from the Cayman Islands. Absent an exemption, all private funds that carry on business in or from the Cayman Islands will...more

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