Harry Cassin
Publisher and Editor
Andy Spalding
Senior Editor
Jessica Tillipman
Senior Editor
Bill Steinman
Senior Editor
Richard L. Cassin
Editor at Large
Elizabeth K. Spahn
Editor Emeritus
Cody Worthington
Contributing Editor
Julie DiMauro
Contributing Editor
Thomas Fox
Contributing Editor
Marc Alain Bohn
Contributing Editor
Bill Waite
Contributing Editor
Shruti J. Shah
Contributing Editor
Russell A. Stamets
Contributing Editor
Richard Bistrong
Contributing Editor
Eric Carlson
Contributing Editor
Britain’s market regulator charged a former UBS Group AG compliance officer with five counts of insider trading.
Fabiana Abdel-Malek, 34, allegedly passed tips to a London man between June 2013 and June 2014 who traded on the information, Bloomberg reported.… Continue Reading
Responding to persistent corruption in countries around the world takes more than a commitment to a Convention and adoption of sweeping legislation to achieve meaningful progress. A broad view, an innovative approach and a willingness to look across a wide spectrum of solutions are all critical.… Continue Reading
Each of the following industries are mentioned in connection with two ongoing FCPA-related investigations, according to FCPA Tracker:
Auto Parts
Gaming
Spirits
Engineering and Construction
Food Supplements
Equipment and Vehicle Rental
Real Estate
Chemicals
Aviation Technology
Steel Production
Logistics
Tobacco
In all, 44 industries are represented by the 114 open FCPA-related investigations that FCPA Tracker is now following.… Continue Reading
The U.S. Supreme Court issued its highly anticipated opinion in Kokesh v. SEC Monday, unanimously holding that the SEC’s use of disgorgement operates as a penalty under federal law and is therefore not freed from the five-year statute of limitations.… Continue Reading
The five industries with the most ongoing FCPA-related investigations, according to FCPA Tracker, are:
Oil and Gas Services — 24
Telecommunications — 10
Healthcare — 8
Pharmaceutical — 6
Banking — 6
In all, 44 industries are represented by the 114 open FCPA-related investigations that FCPA Tracker is now following.… Continue Reading
A new survey found that Chief Compliance and Ethics Officers are struggling to effectively aggregate and analyze data due in part to outdated technology and a lack of available tools at their disposal.… Continue Reading
The U.S. Supreme Court Monday ruled 9-0 to limit the Securities and Exchange Commission’s legal authority to recover ill-gotten profits from defendants.
The Supreme Court in Kokesh v. SEC said the SEC’s use of the remedy known as disgorgement is subject to a five-year statute of limitations.… Continue Reading
The Financial Industry Regulatory Authority (FINRA) barred a former Morgan Stanley representative for concealing the customers behind around $190 million in Venezuelan bond trades.
John Batista Bocchino hid the customers’ trades from Morgan Stanley by creating hundreds of documents containing false information, including new account forms and trade tickets, FINRA said Thursday.… Continue Reading
Since the FATF 40 Recommendations were published in 1990, Anti-Money Laundering/Countering the Financing of Terrorism (AML/CFT) compliance became one of the most regulated fields. By contrast, anti-corruption compliance is developing under the influence of international soft law.… Continue Reading
The former general counsel of oil and gas services firm PetroTiger was suspended from practicing before the U.S. Securities and Exchange Commission after pleading guilty to an FCPA conspiracy.
Gregory Weisman was sentenced in September 2015 to two years probation.… Continue Reading
Job Title: Anti-Bribery and Corruption Compliance Officer
Employer: Société Générale
Location: New York, NY
Description: Responsibilities include, but are not limited to:
Lucky Lindy is a term that is usually consigned to the history books. Yet to many Americans he was the hero of the 20th Century for his solo flight across the Atlantic.… Continue Reading
