In recent years, the Department of Justice (DOJ) has rolled out a significant and increasing number of carrots and sticks aimed at deterring and punishing white collar crime. Speaking at the American Bar Association White...more
3/13/2024
/ CFTC ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Employee Misconduct ,
FinCEN ,
Foreign Corrupt Practices Act (FCPA) ,
Incentives ,
IRS ,
Qui Tam ,
Securities and Exchange Commission (SEC) ,
Self-Disclosure Requirements ,
Voluntary Disclosure ,
Whistleblowers ,
White Collar Crimes
2023 was a banner year in the sanctions space and regulators seem primed to continue that performance in 2024. In December 2023, numerous government officials and industry experts convened at the New York Forum on Economic...more
1/12/2024
/ Bureau of Industry and Security (BIS) ,
CFTC ,
Compliance ,
Economic Sanctions ,
Enforcement ,
European Anti-Fraud Office (OLAF) ,
Export Administration Regulations (EAR) ,
Export Controls ,
FinCEN ,
Foreign Corrupt Practices Act (FCPA) ,
National Security ,
Office of Financial Sanctions Implementation (OFSI) ,
Office of Foreign Assets Control (OFAC) ,
Popular ,
Self-Disclosure Requirements ,
Suspicious Activity Reports (SARs) ,
Voluntary Disclosure ,
Whistleblowers
Federal regulators have cracked down on the use of texts messages and messaging platforms for business communications, using their broad authority to root out record retention violations, resulting in significant fines and...more
10/20/2023
/ Broker-Dealer ,
CFTC ,
Compliance ,
Email ,
Enforcement Actions ,
FERC ,
Financial Industry Regulatory Authority (FINRA) ,
Fines ,
Insider Trading ,
Instant Messaging Apps ,
Investment Adviser ,
Mobile Devices ,
Multi-Factor Authentication ,
Policies and Procedures ,
Record Retention ,
Regular Business Communications ,
Sanctions ,
Securities and Exchange Commission (SEC) ,
Software ,
Text Messages