Tag: Department of Justice

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This Week in FCPA-Episode 38, the M&M Edition

Show Notes for Episode 38, for the week ending February 3, the M&M edition:

  1. January a month for the FCPA record books. See article in the FCPA Blog.
  2. Are hunting trips a FCPA violation? How about in Sweden? See article in by Tom Fox in Compliance Week.
  3. VW update-what the former CEO knew and when did he know it and CCO ‘departs’. What does it all mean? See Tom Fox articles in Compliance Week on the former CEO and the departure of the CCO.
  4. New Tom Fox series on One Month to a Better Board, FCPA Compliance Report.
  5. Everything Compliance-Episode 6 is out. It is dedicated exclusively to Rolls-Royce.
  6. Jay Rosen Weekend Report preview.
  7. Super Bowl predictions.

[tweet_box design=”default” url=”http://wp.me/p6DnMo-31q” float=”none”]What were the week’s top FCPA, compliance and ethics stories? Check out This Week in FCPA to find out. [/tweet_box]]]>

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This Week in FCPA

This Week in FCPA-Episode 34, the Invisible Hand Edition

In this episode Jay Rosen and I take a dive into the General Cable FCPA enforcement action, consider the ‘Invisible Hand’ of  Justice Department Compliance Counsel Hui Chen and greater regulatory enforcement, corporate response and innovation. We explain how these three factors combine in an ‘Invisible Hand’ to form a continuous improvement loop of compliance program innovation. It leads developments from cutting edge to best practices to becoming a routine part of an effective compliance program. We discuss the upcoming NFL divisional round of playoffs and conclude with Jay previewing the Jay Rosen Weekend Report. For more information on the General Cable FCPA enforcement action, check out my three-part blog post series:
Part I-the Bribery Schemes
Part II-the Comeback
Part III-the Denouement
[tweet_box design=”default” url=”http://wp.me/p6DnMo-2W9″ float=”none”]How does the invisible hand impact continuous improvement of compliance programs?[/tweet_box]]]>

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Everything Compliance

This Week in FCPA-Episode 32, the not so friendly skies edition

  • United Airlines SEC enforcement action for domestic; the Chairman’s Flight and the US Corrupt Practices Act, for a copy of the Justice Department NPA, click here and for a copy of the SEC Cease and Desist Order, click here.
  • Monetary Authority of Singapore seeks to suspend former Goldman Sachs trader in 1MDB scandal. Link to Fox blog post on Compliance Week.
  • FATF report that US weak on beneficial ownership issues, for a copy of the report, click here.
  • Wal-Mart up to $820MM in pre-settlement FCPA settlement spend, on Radical Compliance.
  • Release of eBook, Trump on Compliance.
  • SEC Director of Enforcement, Andrew Ceresny announces he will leave the SEC. See NYT article, here.
  • GibsonDunn briefing on The Road Ahead: DOJ and Federal Enforcement in the Trump Administration predicts a Southern California centered FCPA matter will be concluded by year end.
  • 10th Annual SEC & DOJ HOT TOPICS 2017 — Current Developments Materially Affecting Corporations, Financial Institutions, Individuals organized by Sandpiper Partners LLP and program developed by PwC, notes GibsonDunn partner Deb Yang listed as potential SEC Commissioner.
  • Jay Rosen weekend report update.

    • Catc[tweet_box design=”default” url=”http://wp.me/p6DnMo-2Tz” float=”none”]h up on the week’s top FCPA compliance and ethics storylines, events and issues with This Week in FCPA.[/tweet_box]]]>

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    This Week in FCPA-Episode 29, the Brave New World edition

  • Trumps stunning and surprising win and what does it mean for regulatory enforcement and FCPA –See article in the New York Times, Deal Book — How Trump’s Presidency Will Change the Justice Dept. and S.E.C.; for additional views on see Matt Kelly’s thoughts on his site, radicalcompliance.com “5 Post-Elections Points for CCOs to Ponder; for the nightmare scenario, see Matthew Stephenson’s blog post, “US Anticorruption Policy in a Trump Administration: A Cry of Despair from the Heart of Darkness” and finally Jack Kelly’s perspective from the compliance arena in the financial services sector (Dodd-Frank), “It is Not Looking too Good for Compliance Officers in the New Trump Administration”. The next Everything Compliance podcast will be devoted to this top;
  • New French Anti-Corruption Law (Saipan II) – click here for Miller & Chevalier newsletter on this new law. http://www.millerchevalier.com/Publications/MillerChevalierPublications?find=183702
  • The VW emissions-testing scandal investigation expands. As reported in the FCPA Blog, German prosecutors name VW chairman in expanded probe;
  • 1st edition of Everything Compliance Podcast, the new podcast in the FCPA Compliance and Ethics Report podcasting network;
  • Scott Moritz continues his two-part series on compliance and M&A, focusing on post-acquisition. Click here for the FCPA Blog posting, A plan to integrate the compliance program after an acquisition;
  • Rio Tinto announces it has suspended a senior executive for payment to a consultant to assist the company obtain a mining concession in Guinea that it had previously lost. See blog post on the FCPA Compliance and Ethics Report;
  • Joe Warin and Julie Rapoport Schenker discuss the intersection of corporations, white collar defense and trials in their law review article on why companies refuse to settle and instead go to trial. To read click here; and
  • The Jay Rosen Weekend Report.

    • [tweet_box design=”default” url=”http://wp.me/p6DnMo-2QP” float=”none”]What are the week’s top FCPA, compliance and ethics stories?[/tweet_box]]]>

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    This Week in FCPA

    This Week in FCPA-Episode 24, the SCCE Edition

  • Misonix discloses possible FCPA violations, as reported in the FCPA Blog:
  • The Anheuser-Busch InBev SEC FCPA enforcement action, click for the SEC Order;
  • Och-Ziff SEC FCPA enforcement action, click for the SEC Order,
  • HMT LLC and NCH Corp receive Declinations yet are required to disgorge profits, for the HMT Declination letter, click here and for the NCH Declination letter click here;
  • Final thoughts by Tom and Jay on the recently concluded SCCE 2016 Compliance and Ethics Institute; and
  • Jay previews his Weekend Report.

    • [tweet_box design=”default” url=”http://wp.me/p6DnMo-2MP” float=”none”]Och-Ziff, Anheuser-Busch in India and a new category of declinations, wrap up of the SCCE, all in This Week in FCPA.[/tweet_box]]]>