Compliance Communications Blog
9/15/15: That’s the subject line in a recent memo from DOJ to federal prosecutors. The memo spells out a new policy for aggressively investigating and prosecuting individuals involved in corporate crimes. In a notable shift from DOJ’s traditional focus on prosecuting corporations, the memo sets...
9/1/15: The US Securities and Exchange Commission recently settled charges with Citigroup Global Markets saying the company failed to adopt and apply procedures that would prevent and detect transactions signaling the potential misuse of material, nonpublic information. The company also failed to adopt...
9/1/15: The Securities and Exchange Commission isn’t fooling around with its enforcement of the FCPA. In the process, it’s also reminding compliance officers of the various ways they can run afoul of the law. Recently, the SEC announced a settlement with BNY Mellon to settle charges that it violated the FCPA by providing...
8/19/15: Anti-competition law is a complicated business but the Federal Trade Commission has taken a stab at describing the underlying principles that guide its enforcement actions against “unfair methods of competition” prohibited by Section 5 the FTC Act. According to FTC Chairwoman Edith Ramirez, “The statement...