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Features
Compliance Officers and Law Enforcement: Friends or Foes?
Jonathan B. New and Patrick T. Campbell
Part Two of a Two-Part Article
As we saw in Part One, regulators have recently shown a tendency to focus on compliance officers who they deem to have failed to ensure that the compliance and anti-money laundering (AML) programs that they oversee adequately prevented corporate wrongdoing, and there are several indications that regulators will continue to target compliance officers in 2018 in actions focused on Bank Secrecy Act/AML compliance.
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Features
Supreme Court Ties SEC’s Hands in Whistleblower Case
Janice G. Inman
With its decision in Digital Realty v. Somers, the U.S. Supreme Court dealt a blow to companies interested in learning of their own securities violations before the government gets the heads-up. The case’s outcome means whistleblowers who might have reported violations internally will be incentivized to bypass their own companies’ compliance mechanisms in favor of immediate reporting to the SEC.
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Features
Philip M. Berkowitz
While laws such as the FCPA do not necessarily prohibit hiring individuals with criminal records or bad credit records or who are former government officials, they do require employers to identify these individuals and assess whether their hire would pose a threat, violate the laws outright or impose an administratively difficult burden due to the need to monitor their activities.
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Features
Sexual Harassment & the Legal Industry
John Hellerman
For members of a conservative industry that — literally — wrote the rulebook on sexual harassment, law firms need to be ready for a day of reckoning that seems inescapable.
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Columns & Departments
Arkansas State Senator Pleads Guilty to Fraud and Money Laundering
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