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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.
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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.
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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.
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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.
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Barclays will pay $4m to settle CFTC charges over swap reporting
Significant cooperation and remediation resulted in a reduced civil fine for the firm.
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DOJ pilot program offers leniency for some executive criminal tipsters
Pilot program at DOJ will give immunity to executives providing information about corporate misconduct in which they were involved.
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SIFMA 2024: Off-channel communications strategies and solutions
At the SIFMA annual conference event last week, off-channel communication recordkeeping challenges and possible solutions proved to be a popular panel topic.
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XLoD London 2023: What the SEC means by proactive compliance
In this session, Lindsay Moilanen, Assistant Regional Director at the SEC, outlined the Commission’s current priorities.