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New Certification Requirements on the Horizon for CCOs: Certifying the Efficacy of Compliance Programs at the Conclusion of Criminal Settlements

USA - April 7 2022 On Tuesday, March 22, 2022, Assistant Attorney General Kenneth Polite of the Department of Justice (DOJ) told an audience of compliance professionals…

Nicholas A. Mongelluzzo

Novel SEC "Shadow Trading" Theory Expands Insider Trading Liability

USA - January 25 2022 The SEC recently unveiled a novel "Shadow Trading" theory that expands insider trading liability. "Shadow Trading" describes when an insider with…

Kelly E. Johnson, George Kostolampros, Xochitl S. Strohbehn

SEC Finalizes Rule That Affords PCAOB Oversight of Foreign Issuer Books and Raises the Specter of Delisting Non-Compliant Issuers

USA - December 9 2021 It’s official: Foreign issuers of securities in the United States who were previously beyond the regulation of the SEC are now subject to the same…

William N. Haddad, George Kostolampros, Xochitl S. Strohbehn

SEC and DOJ Bring FCPA Enforcement to Consumer Lending

USA - May 26 2020 On May 7, World Acceptance Corp., a consumer lender based in Greenville, South Carolina, announced that it had set aside $21.7 million in…

Andrew E. Bigart, W. Warren Hamel, Kelly E. Johnson, George Kostolampros, Nicholas A. Mongelluzzo

Bribery and Corruption Expected to Increase in Wake of COVID-19 Pandemic

OECD, USA - May 4 2020 The Organization for Economic Cooperation and Development (OECD) has joined enforcement agencies in the U.S. and across the globe in warning of…

W. Warren Hamel, Kelly E. Johnson, George Kostolampros, Nicholas A. Mongelluzzo