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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

These twelve Industries have two open FCPA-related investigations

Each of the following industries are mentioned in connection with two ongoing FCPA-related investigations, according to FCPA Tracker:

Auto Parts
Engineering and Construction
Food Supplements
Equipment and Vehicle Rental
Real Estate
Aviation Technology
Steel Production

In all, 44 industries are represented by the 114 open FCPA-related investigations that FCPA Tracker is now following.… Continue Reading

Supreme Court limits SEC disgorgement power

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

Ex-Morgan Stanley trader hid Venezuela bond trades from compliance reviews

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

SEC bans former PetroTiger GC

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: Anti-Bribery and Corruption Compliance Officer

Job Title: Anti-Bribery and Corruption Compliance Officer

Employer: Société Générale

Location: New York, NY

Description: Responsibilities include, but are not limited to:

  • Lead the implementation and management of the SGUS Anti-Bribery and Corruption Compliance Program based on a risk assessment of the Firm’s vulnerabilities and in collaboration with various stakeholders
  • Implement best practices for Anti-Bribery and Corruption Program governance, policy development, risk assessment, oversight over anything of value (e.g.,
Continue Reading