Compliance Communications Blog

 

"Best Practices Compliance Programs for 2016"


11/3/2015: Tom Fox’s recent post on his FCPA Compliance and Ethics blog focused on the issue of “… training and testing the effectiveness of a best practices FCPA compliance program.”  Employee training has always been an integral component of an effective compliance...

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"Welcome to Our Company...Maybe"


10/7/15: Hiring personnel is an HR responsibility but, as with so many other business functions, it can easily become an FCPA risk for the company. Recent actions by the SEC against financial institutions for their hiring practices should heighten every company’s awareness of the potential risks involved in hiring foreign...

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"Prevent and Detect Violations"

 

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...

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"SEC Continues to Tackle FCPA Violations"

 

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...

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