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The cost of misconduct: Prison sentences and reputational ruin
Criminal convictions for a former McKinsey partner and ex-Volkswagen directors for compliance failings and misconduct.
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Judge sanctions CFTC over misconduct
The sanctions punish the CFTC for making false statements and acting in bad faith.
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Therese Chambers: “Enforcement needs to be loud and in your face”
Senior FCA executive delivered keynote speech at the Spring Conference of NYU’s Program on Corporate Compliance and Enforcement.
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The DOJ revises Evaluation of Corporate Compliance Programs to spotlight new tech
Changes to the document mainly emphasize emerging technologies and data analytics.
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On the importance of keeping an open mind
When carrying out an investigation, it can be too easy to lose sight of the bare facts, says Carroll Barry-Walsh.
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Fewer whistleblowers turn to the FCA, new data reveals
Compliance, fitness propriety, and culture of organization remain as the top three subjects of allegations.
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Commissioner Pham expresses grave concerns about CFTC enforcement misconduct
Caroline Pham issued a statement calling for timely action to address alleged misconduct by CFTC staff in an ongoing enforcement case.
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Podcast: Ex-FBI special agent Oliver Halle talks about taking the harder right
Halle tells GRIP about the people he’s met, their time served in jail, and more effective ways to create a culture of honesty.