In a securities filing this month, Bank of New York Mellon Corp. said it received a subpoena from the SEC asking about job offers to government officials and internships awarded to their family members.… Continue Reading
Posts Tagged: Morgan Stanley
Bank of New York Mellon Corp. said the SEC has recommended an enforcement action for possible FCPA violations related to the bank’s dealings with sovereign wealth funds.
In an SEC filing Friday, BNY said it received a so-called Wells Notice in the fourth quarter of 2014, and some current and former employees had received the same notice in the third quarter.… Continue Reading
In the FCPA area we all know how important it is to have effective compliance programs. The DOJ’s Criminal Division and the SEC have emphasized that these programs need to be diligent, and not mere formalities.… Continue Reading
Job Title: Asia (including Japan) Anti-Corruption Group, Legal Counsel
Employer: Morgan Stanley
Location: Hong Kong
Social media can be used to help disseminate information about a compliance program and to promote the program’s virtues. But some think using social media for anything related to compliance it still too risky.… Continue Reading
Singapore-based copywriter Jeremy Tarrier is working on a manuscript called The Rise and Fall of an American in China, inspired by the experiences of former Morgan Stanley managing director Garth Peterson.… Continue Reading
Jeremy Tarrier is Garth Peterson’s Boswell.
Peterson was the head of real-estate investments for Morgan Stanley in China.… Continue Reading
Nothing in the past 50 years has changed the way businesses and individuals communicate more than email, and new technologies are now transforming email into a powerhouse for compliance programs.
The benefits of email are obvious — it’s cheap, fast, easy, and ubiquitous.… Continue Reading