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Citi, UBS, BNY and three others fined in CFTC Enforcement Sprint Initiative
Six major banks agreed to pay penalties to resolve compliance violations, most of them receiving maximum cooperation credit.
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DOJ clarifies its CEP with a focus on self-reporting and compliance monitors
A company can expect a declination when it voluntarily discloses corporate misconduct, cooperates, and remediates violations.
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Podcast: Andrew McBride on the FCPA, compliance, and cooperating with government
Julie DiMauro spoke to the founder and CEO of Integrity Bridge, and former Chief Risk & Compliance Officer of Albemarle Corporation.
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Goldsmith Romero outlines her recommendations for cooperation credit at the CFTC
Commissioner Goldsmith Romero said her agency should make the benefits of cooperation more clear in public documents and specific cases.
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DOJ’s Criminal Division chief signals white-collar crime de-prioritization
The DOJ looks to combat foreign crime while promising to scale back monitorships and incentivize self-reports.
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OFAC settles with SkyGeek Logistics for alleged Russian sanctions violations
SkyGeek agreed to settle its potential civil liability for six apparent violations of OFAC sanctions related to Russia’s aerospace and technology sectors.
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SEC announces enforcement results for fiscal year 2024
The SEC announced that it collected $8.2 billion in monetary penalties for FY 2024, the highest amount for the fines in the regulator’s history.
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CFTC Commissioner Mersinger on cooperation credit and avoiding chasing trends
Mersinger’s remarks revolved around CFTC enforcement and ideas for improvement, especially in the extension of cooperation credit.