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Compliance

$475M Lawsuit Alleges Danske Bank’s Inaction Created ‘Enormous Scandal’ | Corporate Counsel

By Securities Docket on March 20, 2019, 9:42 am

At the heart of a $475 million lawsuit that investors in 19 countries have brought against Denmark’s largest bank is a lesson for legal departments regarding the importance of compliance and disclosure. “You need to take regulatory compliance very seriously and when you do have problems don’t cover it up. That will only turn it into […]

Posted in Industry, Top | Tagged Compliance

Speech: ‘Costumes, Candy, and Compliance: Remarks at the National Membership Conference of the National Society of Compliance Professionals

By Securities Docket on November 16, 2018, 1:24 pm

Some people believe that a formal enforcement action is the obvious response to every compliance infraction. In my view, a better approach is to build certain norms into the industry that foster compliance. Hitting someone over the head with a criminal conviction is a sure way to scare all trick-or-treaters, even those not breaking the […]

Posted in SEC, Top | Tagged Compliance, Speeches

Compliance Thought Leaders You Should Be Following | GAN Integrity

By Securities Docket on October 22, 2018, 8:38 am

Compiling a list of thought leaders in ethics and compliance is fun, but so challenging. There are simply too many thoughtful people in this field — which is itself enormous and wide-ranging — to call out everyone worth following. So below is a small slice of the thinkers in corporate ethics and compliance that I […]

Posted in Industry, Top | Tagged Compliance

$7 Billion Hasn’t Moved The Needle on Financial Crime: Gadfly – The Washington Post

By Securities Docket on April 12, 2018, 7:23 am

The bigger picture is less encouraging. Despite a cascade of rules, regulations and record-breaking fines, that spending — an additional 5 billion pounds ($7 billion) a year in the U.K. alone — has barely moved the needle. Gauging success in this area may not be an exact science, but if catching dirty money is a […]

Posted in Industry, Top | Tagged Compliance

The Compliance Podcast Network – Compliance Report

By Securities Docket on July 11, 2017, 8:50 am

Back in 2011, over a with dinner Howard Sklar, we talked about commentary on the FCPA and in the greater compliance community. That conversation led us to begin the original This Week in FCPA podcast. Howard later went off to the corporate world but I continued our podcasting tradition founding the FCPA Compliance Report in […]

Posted in Industry, Top | Tagged Compliance, Podcasts

The Watchdogs Keeping Wall Street in Check  – The New Yorker

By Securities Docket on May 9, 2017, 12:50 pm

Despite compliance’s reputation as a buzzkill profession, its status rose during the Obama Administration. Regulations implemented after the financial crisis created a need for internal watchdogs, as did the concern raised by prosecutions of banks and hedge funds for mortgage fraud, currency-market rigging, and insider trading. In 2014, the Wall Street Journal went so far […]

Posted in Industry, SEC, Top | Tagged Compliance

Compliance is a Business – Compliance Report

By Securities Docket on August 18, 2016, 12:30 pm

All of this leads me to conclude the DOJ (as well as the Securities and Exchange Commission (SEC)) want to see compliance moved out into the business. This means that Chief Compliance Officers (CCO’s) will need to move past the thinking that simply having a compliance program will be enough to make compliance effective. You […]

Posted in Industry, SEC, Top | Tagged Compliance

Compliance fail: Chinese bank employees publicly spanked for poor performance | Compliance Week

By Securities Docket on June 22, 2016, 11:12 am

A disturbing video of a Chinese bank’s effort to improve employee performance — through public, violent spankings of employees — was posted yesterday in a BBC article. The video, which will make even the most hardened U.S. compliance officer cringe, shows a line of employees from Changzhi Rural Commercial Bank being subjected to an awful “team-building” workshop in […]

Posted in Global, Top | Tagged China, Compliance

Compliance Officers Fear Greater DOJ Scrutiny of Individuals — CFO.com

By Securities Docket on April 20, 2016, 7:50 am

Judging from a report released Monday, corporate compliance officers (CCOs) and in-house corporate counsel are unnerved, to say the least, about the specter of heightened scrutiny. Among 78 such people who responded to a survey by law firm DLA Piper, 80% were at least somewhat concerned about the change in tone and tactics from Washington. […]

Posted in Industry, Top | Tagged Compliance

SEC Charges Company and Executives for Faulty Evaluations of Internal Controls — SEC Press Release

By Securities Docket on March 11, 2016, 9:16 am

The Securities and Exchange Commission has settled charges against Texas-based oil company Magnum Hunter Resources Corporation and several individuals, including a company consultant, for deficient evaluation of the company’s internal controls over financial reporting, and failures to maintain internal control over financial reporting between Dec. 31, 2011 and Sept. 30, 2013. via SEC Charges Company […]

Posted in SEC, Top | Tagged Compliance, Internal Controls

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