-
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.
-
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.
-
Justice department rewards self-reporting in national security case
USRA spared prosecution after self-reporting employee’s illegal export of sensitive US aviation software to Chinese military-linked university.
-
CFTC releases self-reporting and cooperation rubric
Enforcement Advisory offers clarity into how the commodities regulator will offer credit against penalties for meritorious conduct. But there are concerns.
-
SEC on a tear: Seven decisions, from FCPA scheming to MNPI reporting
Several SEC cases highlight its effort to clear its docket, plus remind firms of internal controls principles and registration and reporting basics.
-
DOJ relaxed its approach to corporate criminal enforcement (again)
Citing a need for transparency in the DOJ’s corporate criminal enforcement efforts, Deputy AG Argentieri outlined some tweaks to the agency’s Corporate Enforcement Policy.
-
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.
-
Barclays will pay $4m to settle CFTC charges over swap reporting
Significant cooperation and remediation resulted in a reduced civil fine for the firm.