Category: Compliance Bricks and Mortar

Here are some recent compliance-related stories that caught my eye: Compliance Professionals Ask Justice Department for Data Showing Programs Pay Off Corporate ethics and compliance officers want the U.S. Department of Justice to provide data “that identifies how often an effective ethics and compliance program yields a direct return in enforcement decisions,” according to three … Read more »

Here are some recent compliance-related stories that recently caught my eye: The Swiss Compliance House: a Model for FCPA Compliance? by Thomas Fox The Compliance House is a model which has been developed by Swiss businesses to use as the foundation of effective compliance management by ensuring that by “binding values and appropriate compliance management … Read more »

Here are some recent compliance related stories that caught my attention: “Foreign Official” Limbo … How Low Can It Go? in FCPA Professor Move over 49%, there is a new “foreign official” “limbo low” – 43%. In the recent Alcatel-Lucent enforcement action (see here for a complete analysis) paragraph 21 of the DOJ’s information (here) … Read more »

Here are some recent compliance-related stories that I found interesting: Dodd-Frank: Too Many Regulations Too Fast? by Thomas Gorman in SEC Actions The average annual rate of rulemaking per year prior to Dodd-Frank for the SEC was 9.5, the CFTC 5.5, the FDIC 8 and the Federal Reserve 4.5 Post Dodd-Frank the average for the … Read more »

Here are some compliance-related stories that recently caught my attention: Additional Settlements in New York Pension Fund Investigation in the Pay to Play Blog New York State Attorney General and Governor-Elect Andrew Cuomo has announced additional settlements in his investigation of “pay-to-play” practices and conflicts of interest at public pension funds. FTC Gives Guidance on … Read more »

These are some compliance-related stories that recently caught my eye: Business Ethics and the “New York Times” Rule by Chris MacDonald in The Business Ethics Blog The first thing to say about the Newspaper Test is that it probably is a useful heuristic. Asking the question it poses at very least serves as an opportunity … Read more »

Here are some recent compliance-related stories that caught my attention: Transparency International Alleges Intimidation in Pakistan by Joe Palazzolo in WSJ.com’s Corruption Currents Transparency International says its branch in Pakistan has received death threats from government officials, in connection with the anti-corruption organization’s agreement with the U.S. to monitor aid flows to the country. Syed … Read more »

Here are some recent compliance related stories I found interesting. SEC Charges Two Longtime Madoff Employees with Fraud The Securities and Exchange Commission today charged a pair of longtime employees at Bernard L. Madoff Investment Securities LLC (BMIS) with playing key roles in the Madoff Ponzi scheme. One employee produced phony account statements for investors … Read more »

Here are some compliance-related stories that I found interesting: Stanford Moved After More Fisticuffs Leaves Him Bruised and Bloodied by Ashby Jones in WSJ.com’s Law Blog He was granted a transfer Monday from a private Texas jail to a federal one closer to his lawyers in downtown Houston. The transfer came in the wake of … Read more »

Here are some interesting compliance related stories that caught my eye recently: Does that Pass the Smell Test by Eilene Zimmerman in the New York Times‘ Career Couch Q. Your boss has asked you to do something that seems unethical. How can you determine whether your suspicions are correct? Ethisphere’s 20 Ethics & Compliance Officers … Read more »