Features

Compliance Officers and Law Enforcement: Friends or Foes?
<b><i>Part Two of a Two-Part Article</b></i><p>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.
Features

Industry Workplace Misconduct Investigations
The important ongoing industry and national conversation about sexual harassment is serving as a wake-up call to entertainment companies, board members and C-suite executives about the need to be proactive when confronted with allegations of harassment or other workplace misconduct.
Features

Supreme Court Ties SEC's Hands in Whistleblower Case
With its decision in <i>Digital Realty v. Somers</i>, 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.
Features

Hiring Practices and the FCPA
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.
Features

Sexual Harassment & the Legal Industry
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.
Columns & Departments
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Arkansas State Senator Pleads Guilty to Fraud and Money Laundering
Features

Compliance Officers: Law Enforcement Partners or Targets?
<b><i>Part One of a Two-Part Article</b></i><p>Part One of this article examines key actions brought by U.S. regulators against compliance officers in 2017 based on their failures to ensure that their firms maintain effective compliance and AML programs.
Features

Gone, But Not Forgotten: Evidence from the Archived Internet
As useful as evidence from the archived Internet can be in many white collar trials, admitting it into evidence is not always a straightforward proposition, as a number of recent cases show.
Features

Another Virtual Currency Player Charged with Fraud by CFTC
The enforcement action alleges that Las Vegas-based My Big Coin Pay Inc., a virtual currency wallet and platform, misappropriated more than $6 million from its customers for “personal expenses and the purchase of luxury goods.”
Features

Wells Fargo, Ending Its Appeal, Settles Whistleblower's $577K Retaliation Case
Wells Fargo & Co. has reached a settlement with a former branch manager who claimed she was fired for blowing the whistle on employees who had been opening accounts without permission, the sales-pressure conduct at issue in a scandal that erupted in 2016.
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