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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.
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From bribes to sex scandals, lawyer investigations scrutinised over ‘whitewash’ claims
Internal probes in the spotlight following high-profile cases as legal regulator prepares new guidance.
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JP Morgan fined $350m for deficient trade surveillance program
The bank failed to surveil billions of trades on at least 30 global trading venues.
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Deterrence to the fore in CFTC enforcement guidance
New guidance addresses monetary penalties, recidivism, monitor and consultant undertakings as well as admission resolutions.