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.
Gurbir Grewal also provided more guidance as to how the securities regulator approaches noticing companies that they are facing a possible enforcement action.
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.
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 …
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.
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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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 unveils the first shortlist for its ninth annual awards ceremony, which will be held in Washington, DC, on 16 November.
GIR profiles the leading boutiques and full-service firms for investigations in Switzerland.
“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.”
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.
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.
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.
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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An SEC request to disclose client names will not break attorney-client privilege or exceed the agency’s statutory authority, a federal judge said.
Sujit Raman, Blockchain intelligence company TRM Labs’ chief legal officer, tells GIR about how recent enforcement actions have shaped his organisation’s approach to compliance, as well as the challenges he faces working …
The director of regulatory compliance at Booking.com speaks to GIR about his organisation’s approach to compliance and investigations, and why he’d like to see enforcement agencies provide more information on cases that …
The public reaction to a new DOJ pilot programme incentivising companies to promote compliance via compensation packages has been too narrowly focused on clawbacks, a senior DOJ lawyer said.
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