Topic: Data collection

Glenn Leon: data analytics in corporate compliance not about the “shiniest tool”

The head of the DOJ’s fraud section said in-house lawyers should make the most of their resources when introducing data analytics into their company’s compliance programme, and indicated that more enforcement actions and policy changes are on the horizon.

01 December 2022

DOJ, SEC officials build out expectations on company ephemeral messaging rules

Justice Department and SEC officials want companies under investigation to present the rules they have in place for employees’ usage of such messaging platforms.

30 November 2022

Systems and controls rules key to FCA personal messaging probes

The UK’s financial regulator will focus on potential breaches of systems and controls rules if it takes enforcement action against banks over the use of personal messaging apps to conduct business, lawyers say.

01 November 2022

EU court finds historic AMF data gathering breached privacy laws

The European Union’s highest court ruled that the French market regulator’s historic practice of gathering electronic communications data for market abuse probes without a warrant was unlawful.

06 October 2022

UK lawyers point out holes in new property register

Speaking to GIR about a new registry for overseas owners of UK property, lawyers said that while the transparency rules are theoretically beneficial, certain glaring loopholes leave it vulnerable.

18 August 2022

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

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

Reuters: US Commerce Department investigating Huawei

22 July 2022

Report details SFO director’s “mistakes and misjudgments” on Unaoil probe 

An independent report into the Serious Fraud Office’s handling of its investigation into Monaco oil services consultancy Unaoil has laid bare the internal errors that have led to three of the four convictions secured in the case being overturned.

21 July 2022

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