Schlagwort-Archive: SEC

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

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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

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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

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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

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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=

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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

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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

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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

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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

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FCPA: Days of Future Passed: The Moody Blues and the End of Facilitation Payments?

This past weekend I caught the Moody Blues’ tour celebrating the 45th anniversary of their seminal classic album, “Days of Future Passed”. This was the second album released by the band and while I had always thought of it as … Weiterlesen

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