Archives: corporate compliance

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DPA Regime a Landmark Change to Singaporean Law

A recent landmark change to Singapore’s criminal justice system providing for Deferred Prosecution Agreements (“DPAs”), or voluntary alternatives to adjudication, should increase corporate accountability for acts of bribery, corruption, and money laundering.… Continue Reading

Does C Plea Mean Corporate Plea?

Many conclude that a C plea means a Corporate Plea. Used infrequently, a C plea restricts discretion of a federal district judge to sentence a criminal defendant. By expressing his concerns about a proposed C plea for a company, one federal judge changed the result. In an article published by the American Health Lawyers Association, … Continue Reading

Judge Kavanaugh Supports Strong Attorney-Client Privilege

D.C. Circuit Court of Appeals Judge and Supreme Court nominee Brett Kavanaugh proves a staunch defender of attorney-client privilege for companies.  In FTC v. Boehringer Ingelheim Pharms., Inc., one of his final opinions before stepping away from casework because of his Supreme Court nomination, Judge Kavanaugh solidified his stance taken in the 2014 case In … Continue Reading

Does DOJ Approve Of Your Messaging App?

The Department of Justice released new Enforcement Policy for the Foreign Corrupt Practices Act (FCPA). The revisions include a new provision that many believe impairs the use of instant messaging software and other third-party messaging apps by employees. In order to receive a declination and full credit for cooperating with investigators under the Enforcement Policy, U.S. companies … Continue Reading

A Lesson: Follow Through With Encryption Plan

Even the best laid plan for data security requires follow through. A cancer center was penalized $4.3 million by the government for failing to complete its encryption plan for devices.  The decision is instructive even for companies not specifically required to protect data under government regulation. Tom Zeno and Elliot Golding of Squire Patton Boggs discuss … Continue Reading

Yahoo Fined Millions by SEC for Failing to Disclose Cybersecurity Breach

In late April, the U.S. Securities and Exchange Commission (SEC) hit Yahoo with a $35 million dollar fine for failing to properly assess and disclose a 2014 data breach that affected more than 500 million user accounts. The case marks the first time the SEC has charged a public company with cybersecurity-related disclosure violations and … Continue Reading

How to Use Data Mining for Compliance

Government uses data mining to select targets for enforcement actions. Your company can use data mining for compliance. Hear tips and insights in an eleven minute podcast in “Compliance Perspectives,” from the Society of Corporate Compliance and Ethics (SCCE).  SCCE is a member-based association providing education and news updates for ethics and compliance professionals. To listen to the podcast, click here.… Continue Reading

The SEC’s New Year’s Resolutions: Retail Investors and Cybersecurity

2018 arrived in the wake of big changes at the U.S. Securities and Exchange Commission (“the SEC”).  Jay Clayton was sworn in as Chairman of the Commission in May, naming Steve Peikin and Stephanie Avakian as Co-Directors of the Enforcement Division (the “Division”) in June.  As many do for the start of a new year, … Continue Reading

US Departments of Justice and State Launch Intellectual Property Law Enforcement Coordinator Network

The US Departments of Justice and State recently launched the “IP Law Enforcement Coordinator Network” to focus on international trademark counterfeiting, copyright piracy and other forms of intellectual property rights infringement across the world, spanning all industry sectors. And while the components of the Network are not new, there is now renewed focus on these … Continue Reading

Rosenstein Pledges Reduced Regulation, Encourages Self-Reporting

U.S. Deputy Attorney General Rod Rosenstein pledged an enforcement environment in which businesses can thrive. In keynote remarks at the U.S. Chamber Institute for Legal Reform, he emphasized the Department of Justice’s (DOJ) commitment to “avoiding unnecessary interference in law-abiding enterprises.” Rosenstein also promoted the benefits of corporate compliance and self-reporting. Although allegedly offering “no breaking news” about DOJ policies, … Continue Reading

Summary of U.S. Department of Justice’s Guidance, “Evaluation of Corporate Compliance Programs”

Summary of Compliance Guideline The Criminal Division’s Fraud Section of the U.S. Department of Justice (the “DOJ”) has released guidance on how the DOJ will determine the effectiveness of a company’s corporate compliance program.  The guidance, entitled Evaluation of Corporate Compliance Programs[1] (the “Compliance Guideline”), provides examples of topics and sample questions that are frequently … Continue Reading
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