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Schlagwort-Archive: SEC
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: From the Compact Model to the Luxury Model – Managing Your Third Party Risk
I am currently attending the Hanson Wade Oil and Gas Supply Chain Compliance conference in Houston. The event is excellent and the presentations have been ‘spot on’ for the nuts and bolts of how to do compliance. As the conference … Weiterlesen
Veröffentlicht unter Compliance USA
Verschlagwortet mit Compact Model, Department of Justice, FCPA, Foreign Corrupt Practices Act, Hanson Wade Oil and Gas Supply Chain Compliance Conference, Houston, Luxury Model, Nietzer&Häusler, SEC, Third Party Risk, US corporate law
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ILR: Jury Still Out on Schapiro’s SEC Enforcement Legacy
Legal Reform News Daily / Wall Street Journal WSJ.com Corruption Currents: The final enforcement stats are in for Mary Schapiro’s tenure at the Securities and Exchange Commission, but it may be to early to make any pronouncements about her legacy. … Weiterlesen
Veröffentlicht unter Allgemein
Verschlagwortet mit Financial Services, ILR, Institute for Legal Reform, Nietzer&Häusler, SEC, US-Gesellschaftsrecht, Wall Street Journal
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FCPA: How to Introduce Change into Your FCPA Compliance Program (Without Blowing It Up)
Thucydides or Herodotus; Herodotus or Thucydides. Which is your favorite? I admit to vacillating between the two. Thucydides wrote about the end of the Athenian dynasty from the Peloponnesian War and the debacle of the Sicilian Invasion. Herodotus wrote about … Weiterlesen
Veröffentlicht unter Compliance USA
Verschlagwortet mit Best Practices, Big Data, Compliance programs, Department of Justice, FCPA Guidance, Herodotus, Nietzer&Häusler, SEC, Thucydides, US corporate law
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FCPA: Doing Business In Italy-Step Up Your FCPA Compliance Now
Ed. Note-I met last week with Craig Bloom, a colleague who practices law in Houston. Craig, who is fluent in Italian, was telling me about some of the compliance issues that have been percolating in Italy and in Italian companies. … Weiterlesen
Veröffentlicht unter Compliance USA
Verschlagwortet mit Best Practices, Compliance programs, Craig Bloom, Department of Justice, FCPA, Risk Assessment, SEC, Tone at the Top
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ILR: Judge Tosses SEC Bribery Suit Against Former Siemens Exec
Legal Reform News Daily WSJ.com Corruption Currents A federal judge in Manhattan tossed the Securities and Exchange Commission’s foreign bribery case against a former Siemens AG executive on Tuesday. Read more: http://blogs.wsj.com/corruption-currents/2013/02/19/judge-tosses-sec-bribery-suit-against-former-siemens-exec/?KEYWORDS=lawsuit&utm_medium=Email&utm_source=ExactTarget&utm_campaign=&utm_content=
Veröffentlicht unter Allgemein
Verschlagwortet mit Foreign Corrupt Practices Act, Institute for Legal Reform, Manhatten, SEC, Siemens AG, Wall Street Journal
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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 FCPA Guidance on the Ten Hallmarks of an Effective Compliance Program
Many commentators are still mining the Department of Justice (DOJ)/Securities and Exchange Commission (SEC) publication, A Resource Guide to the U.S. Foreign Corrupt Practices Act, (the “Guidance”), which was released last November. I continue to find nuggets to provide to … Weiterlesen
Veröffentlicht unter Compliance USA
Verschlagwortet mit Best Practices, Compliance programs, Department of Justice, faciliation payments, FCPA, internal investigations, Nietzer&Häusler, Opinion Release, SEC, US-Gesellschaftsrecht
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FCPA: Internal Audit Review of Charitable Donations Under the FCPA
When is a rose not a rose? When it is a charitable donation not made for philanthropic purposes and it violates the Foreign Corrupt Practices Act (FCPA). I thought about that concept when reviewing the Eli Lilly and Company (Lilly) … Weiterlesen
Veröffentlicht unter Compliance
Verschlagwortet mit Best Practices, Books and Records, Charitable Donations, Compliance programs, Department of Justice, Enforcement Actions, Internal Audit, Investigations, Nietzer&Häusler, SEC, US-Gesellschaftsrecht
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FCPA: Top Ten Enforcement Actions for 2012
As we welcome in 2013, it is appropriate to reflect back on some of the things which have occurred over 2012 and in the Foreign Corrupt Practices Act (FCPA) enforcement world, it was quite a significant year. The Department of … Weiterlesen
Veröffentlicht unter Allgemein, Compliance USA
Verschlagwortet mit Department of Justice, Enforcement Actions, FCPA, Nietzer&Häusler, SEC, US Recht, US-Gesellschaftsrecht
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