Topic: Books and records

Bank of America in settlement talks with SEC, CFTC over record-keeping probe

01 August 2022

SFO reviews pile on the pressure

UK practitioners condemned the UK’s anti-fraud watchdog for the “basic” failures described in recent reviews of the agency and say the reports provide an urgent opportunity for learning and reflection by the SFO and the government.

28 July 2022

FCA censures Carillion, fines ex-directors for “reckless” behaviour

28 July 2022

Barclays to pay $200m in record-keeping probe

UK bank Barclays has agreed to an in-principle $200 million settlement with the SEC and the CFTC over the unauthorised use of personal messaging services by its employees.

28 July 2022

Former Herbalife exec ordered to pay $550k in SEC bribery case

A Manhattan federal judge ordered the former head of Herbalife’s China to pay $550,000 after failing to respond to a civil suit alleging that he bribed Chinese government officials.

13 July 2022

UK police seize Latvian company’s funds linked to Privatbank case

A London court has ordered the forfeiture of over £200,000 belonging to a purported recruitment company after prosecutors alleged the funds were the proceeds of a “sophisticated, high-value, cross-border money laundering operation”.

19 May 2022

FCA concludes bank malpractice probe without enforcement action

19 May 2022

Watch GIR Live: DC

GIR subscribers can now view the entire GIR Live: Washington, DC conference, online. The event, held at Paul Hastings on 7 April, was co-chaired by Nicolas Bourtin of Sullivan & Cromwell and Amy Jeffress of Arnold & Porter.

06 May 2022

FRC opens more investigations into GFG Alliance auditors

04 May 2022

DC circuit judge calls SEC whistleblower rule “ambiguous”

A US appeals court heard arguments from two individuals who claimed they were entitled to a whistleblower award in Novartis’s 2016 FCPA case.

01 February 2022

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