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Schlagwort-Archive: Deferred Prosecution Agreement
FCPA: DPAs and NPAs – Useful Tools to Achieve Compliance
The debate on whether the use of Deferred Prosecution Agreements (DPAs) and Non-Prosecution Agreements (NPAs) has become lively again over the past couple of weeks. Last week, there was a panel hosted by the Corporate Crime Reporter conference at the … Weiterlesen
Veröffentlicht unter Compliance USA
Verschlagwortet mit Compliance programs, Deferred Prosecution Agreement, Department of Justice, DPA, Foreign Corrupt Practices Act, Nietzer&Häusler, Non-Prosecution Agreements, NPA, SEC, US corporate law
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FCPA: Distributors under the FCPA
If there was ever a question that distributors were covered under the Foreign Corrupt Practices Act (FCPA), in 2012, the Department of Justice (DOJ) and Securities and Exchange Commission (SEC) made it emphatically clear that this class of entities in … Weiterlesen
Veröffentlicht unter Compliance USA
Verschlagwortet mit Best Practices, Compliance programs, Deferred Prosecution Agreement, Department of Justice, Distributor, FCPA, Lilly, Nietzer&Häusler, Oracle, SEC, Smith & Nephew, US-Gesellschaftsrecht
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FCPA: The HSBC AML Settlement – Lessons Learned for the AML Compliance Practitioner
I recently wrote about banks behaving badly. Currently, Exhibit A in that list is HSBC. In December, 2012, the UK banking giant HSBC agreed to pay a fine of $1.92 billion for its transgressions involving money laundering. Today I want … Weiterlesen
Veröffentlicht unter Compliance USA
Verschlagwortet mit AML, Anti-Money Laundering, Background Checks, Compliance Programms, Deferred Prosecution Agreement, due diligence, FCPA, HSBC, Nietzer&Häusler, US-Gesellschaftsrecht
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FCPA: The Art of Strategic Compliance Plan – A Seven Step Process
I recently wrote about my colleague Stephen Martin’s thoughts on having a 1-3-5 year strategic plan for your company’s Foreign Corrupt Practices Act (FCPA) or Bribery Act compliance program. I am often asked where a compliance practitioner can come up … Weiterlesen
Veröffentlicht unter Allgemein, Compliance USA
Verschlagwortet mit Best Practices, Compliance programs, Deferred Prosecution Agreement, Ethical Leadership, Ethics, FCPA, Harvard Business Review, Nietzer&Häusler, Strategic Plans, US-Unternehmensrecht, Wirtschaftskanzlei Heilbronn Franken
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FCPA Enforcement: Why Corporations Support DPAs and NPAs
At the recent Dow Jones Global Compliance Symposium, there was a debate royal between Mark Mendelsohn and the FCPA Professor, Mike Koehler, regarding enforcement of the Foreign Corrupt Practices Act (FCPA). One of the points the Professor raised was regarding … Weiterlesen
Veröffentlicht unter Allgemein, Compliance USA
Verschlagwortet mit Best Practices, Compliance programs, Deferred Prosecution Agreement, Department of Justice, DOJ, DPA, FCPA, German American Law, Nietzer&Häusler, NPA, Wirtschaftskanzlei Heilbronn Franken
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Compliance – die Panalpina Entscheidung
Die Lektüre dieser US-Entscheidung aus dem Jahre 2010 (einem sogenannten Deferred Prosecution Agreement / DPA) ist Pflichtlektüre für all’diejenigen, die sich mit Compliance Programmen befassen, ein Blick in die USA (der Mutter von Compliance) hilft für die eigenen Überlegungen und … Weiterlesen
Veröffentlicht unter Allgemein
Verschlagwortet mit Compliance Program, Deferred Prosecution Agreement, DOJ, FCPA, Panalpina, U.S.Department of Justice
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The Compliance Integration Risk Assessment
For the want of a nail, the horse was lost. For the want of a horse, the message was lost. For the want of a message, a battle was lost. For the want of a battle, a kingdom was lost. … Weiterlesen
Veröffentlicht unter Allgemein, Compliance USA
Verschlagwortet mit Compliance, Corporate Law, Deferred Prosecution Agreement, Deutsch Amerikanisches Recht, Foreign Corrupt Practices Act, mergers and acquisitions (M&A), Nietzer&Häusler, The Compliance Integration Risk Assessment, Wirtschaftskanzlei Heilbronn Franken
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FCPA: The Saga of MF Global – Don’t Shoot the Messenger, Fire the Chief Compliance Officer
In a post last week on his site, Corruption, Crime and Compliance, Mike Volkov named the Chief Compliance Officer (CCO) his “Person of the Year”. He did so because “There is no other position in a company which has taken … Weiterlesen
Veröffentlicht unter Allgemein, Compliance USA
Verschlagwortet mit amerikanisches Unternehmensrecht, Board of Directors, Corruption, Crime and Compliance, Deferred Prosecution Agreement, Department of Justice, Nietzer&Häusler
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