Global Investigations Review

GIR Live: Annual Sanctions & AML Meeting

SEC to prioritise ephemeral messaging and ESG misstatements, enforcement director says

Gurbir Grewal also provided more guidance as to how the securities regulator approaches noticing companies that they are facing a possible enforcement action.

OFAC fines 3M over Iran sanctions violations

The nearly $10 million penalty from the US civil sanctions enforcer comes just a month after the company agreed to pay $6.5 million to resolve an FCPA-linked probe by the SEC.

Marshall Miller: New M&A-focused compliance guidance coming soon

At a GIR conference in New York City, the second-in-command in Deputy Attorney General Lisa Monaco’s office teased new M&A-focussed compliance guidance, discussed how the department will punish companies who break resolution …

FCA puts UK financial sector on notice over sanctions compliance

The UK financial regulator’s recent assessment of companies’ compliance with sanctions following Russia’s full-scale invasion of Ukraine should serve as a warning that enforcement activity will follow, London lawyers said.

Counsel Watch: Kirkland steps in to challenge SEC subpoena lawsuit

In the latest counsel watch, Kirkland is advising a company that is challenging the release of its identity to the Securities and Exchange Commission following a cyber-hack on its lawyers’ files.

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Editor's picks

Brazilian lawyers concerned about judicial uncertainty following Supreme Court Odebrecht decision

A recent Supreme Court justice’s decision to nullify the use of any information stemming from engineering company Odebrecht’s leniency agreement could jeopardise numerous other Operation Car Wash resolutions, lawyers said.

GIR Awards 2023: Most Impressive Investigations Practice of the Year and Boutique or Regional Investigations Practice of the Year

GIR unveils the first shortlist for its ninth annual awards ceremony, which will be held in Washington, DC, on 16 November.

Switzerland’s investigations bar

GIR profiles the leading boutiques and full-service firms for investigations in Switzerland.

CGU official: international cooperation and better corporate engagement are priorities

“The CGU’s actions must be strong enough to create the fear of punishment,” the agency’s anti-corruption leader told GIR. “But the agency must also be collaborative, and make sure that cooperating with the CGU is a process that will leave the company better off than what it was.”

Just Anti-Corruption

Investment firm to pay $375,000 for violating whistleblower protections

CBRE neither admitted nor denied allegations that it required employees to sign a release agreement stating they had not filed charges against the company in order to receive separation pay.

Puerto Rican bank fined $15 million for repeated AML violations

FinCEN imposed its first-ever fine on a Puerto Rican international banking entity for repeatedly failing to submit timely suspicious activity reports and other violations of the Bank Secrecy Act.

Just Sanctions

US authorities seize Iranian oil traded in violation of sanctions

The seizure of more than 980,000 barrels of oil from a Greek ship operator shows the DOJ’s understanding of sanctions evasion in the oil trade is becoming more sophisticated, a former OFAC official said.

DOJ hires corporate enforcement chief at National Security Division

Ian Richardson, a former federal prosecutor who clinched the DOJ’s recent landmark settlement with French cement producer Lafarge, will lead the division’s growing corporate enforcement work amid a crackdown on companies that violate sanctions, export controls and other national security laws.

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Q&As on how different jurisdictions approach key topics. Easy to use on-the-go. Currently covers data-processing and transfer, extradition, privilege, and securities and related investigations.

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