DOJ's New Guidance Centers on Three Important Questions

The DOJ has served notice it will require clear answers to these three questions during future misconduct investigations. Your answers must demonstrate your organizations compliance program is having a definite impact. In other words, the DOJ expects results. 

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2018 Compliance Roundup - The Nice List


“He’s making a list, checking it twice. . .”

We believe it is a great time of year to recognize fellow professionals for their outstanding contributions to the field of compliance and risk in 2018.

Yesterday, we looked at some of the biggest fines of the year, or "The Naughty List". Today we look at some of the more positive events of the year, "The Nice List".

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2018 Compliance Roundup - The Naughty List

 “He’s making a list and checking it twice. . .”

As part of our end of year wrap up, we present to you The Naughty List. The definitive list of individuals and corporations who will be receiving a bag of coal this year.

Be sure to check in tomorrow, when we post The Nice List. Subscribe to stay notified.

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SEC Issues It's First Fine to a Crypto Fund

Last Wednesday saw the SEC issue its first disciplinary action against a crypto fund. A cease and desist order and a $200,000 fine was issued to Crypto Asset Management (CAM) and its founder Timothy Enneking. (source).

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SEC & FCPA: Midyear Numbers at a Glance

We're more than halfway through 2018, making now a good time to take a mid-year look at the SEC's Foreign Corrupt Practices Act (FCPA) corporate enforcement actions 

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