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Editors

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

FCPA enforcement report for Q3 2019

During the third calendar quarter there were seven corporate FCPA enforcement actions with penalties and disgorgement totaling about $78.5 million.

For comparison, in Q3 2018 there were also seven corporate FCPA enforcement actions.… Continue Reading

Big European bank names CCO to board of directors

Denmark’s biggest bank by market value has appointed a new chief compliance officer and named him to its board of directors.

The Wall Street Journal’s Sam Rubenfeld reported Friday that Dankse Bank A/S named Philippe Vollot to the CCO post and to the board, effective in December.… Continue Reading

Job: Anti-Fraud, Bribery & Corruption Officer – Assistant Vice President

Job Title: Anti-Fraud, Bribery & Corruption Officer – Assistant Vice President

Employer: Deutsche Bank

Location: New York, NY USA

Description: The Anti-Bribery and Corruption (ABC) Officer reports to the Head of Anti-Fraud, Bribery & Corruption Americas, Americas, and is responsible for assisting with the implementation of the AFBC program across the Americas region. … Continue Reading

Credit Suisse discloses FCPA investigation for Asia hiring practices

Banking giant Credit Suisse Group AG said Wednesday the DOJ and SEC are investigating its hiring practices in the Asia Pacific region.

The agencies want to know whether Credit Suisse hired referrals from government agencies and other state-owned entities “in exchange for investment banking business and/or regulatory approvals,” according to a fourth-quarter earnings release.… Continue Reading

Job: KYC Client Onboarding Vice President

Job Title: KYC Client Onboarding Vice President

Employer: Deutsche Bank

Location: New York, NY

Description: In accordance with Anti-Money Laundering Requirements, banks, such as Deutsche Bank AG (‘DB’), are obliged to perform Know-Your-Client (‘KYC’) reviews on all new clients they adopt.… Continue Reading

Job: US Sanctions Compliance Reporting & Governance AVP (Deutsche Bank — New York, NY)

Job Title: US Sanctions Compliance Reporting & Governance / Assistant Vice-President

Employer: Deutsche Bank

Location: New York, NY

Description: US Sanctions Compliance is seeking a Sanctions Reporting and Researcher who will conduct in-depth investigations, research and analysis on potential regulatory risks in line with Sanctions and Embargoes regulations and respective policies.… Continue Reading