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The Basics of Conduct Risk

Conduct risk is a form of business risk that refers to potential misconduct of individuals associated with a firm, including employees, third-party vendors, customers or agents interacting with the firm. Read more on conduct risk, what regulators say about it and how to protect against it.

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Lessons from Top 10 FCPA Fines

When looking at the Goldman Sachs’ $3.3 billion settlement and analyzing other similar cases where FCPA applied penalties and disgorgement, we see common failures in financial institutions to maintain internal controls. But what can we learn from the top 10 FCPA fines?

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Company spends $25 million on Gifts

Last year, two executives of Herbalife Ltd. were charged after spending $25 million on entertainment and gifts for Chinese officials in 10 years period, to facilitate the company operations in some regions in China.

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Manchester United Faces Emerging Compliance Risks

Professional football (or Soccer if you’re an American) club Manchester United plc has embarked on an impressive international expansion of its fan base the past several decades. The club currently claims 1.1 billion followers worldwide and is valued at $3.9 billion USD with a revenue of $770 million last year.  

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China's Social Credit System Presents New Compliance Challenges

The roll-out of China’s social credit system (SCS) is expected to be nearly complete by 2020. While many news stories have focused on the SCS’ scoring of individuals in China, SCS also applies to companies operating in the country and may impact how they approach anti-corruption compliance.  

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