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    An Oscar Winner for Compliance

    Ben Affleck has certainly had his share of ups and downs in his professional career. He shared an Oscar for Best Original Screenplay for Good Will Hunting with his fellow Bostonian buddy Matt Damon at age 25. Thereafter things were not always at that...

    The FCPA’s First Mega Enforcement Action

    This article was reprinted with permission from FCPA Professor [This post is part of a periodic series regarding "old" FCPA enforcement actions] The year was 1982 and the Foreign Corrupt Practices Act was nearing five years old. Up...

    The Death of Pennoyer v. Neff and the Requirements for Minimum Contacts under the FCPA

    The bane of every first year law student, at least in Civil Procedure, is Pennoyer v. Neff . This is because (1) it is usually studied very early in the semester; (2) is viewed as the first true introduction to how strikingly convoluted legal issues...

    Looking Back on the Eckhardt Amendment

    This article was reprinted with permission from FCPA Professor Yesterday's post ( here ) highlighted the FCPA's first mega-enforcement action involving multiple actors. The story remained open as to George McLean (Vice President of Solar...

    Lanny Breuer and Foreign Corrupt Practices Act Enforcement

    This article was reprinted with permission from FCPA Professor Lanny Breuer stepped down as Assistant Attorney General of the Justice Department's Criminal Division on March 1st after nearly four years on the job. Word of Breuer's departure...

    Don’t Spread Your Compliance Program Too Thin

    "You do not want to be spread too thin". When I heard that phrase a light bulb went off inside my head. It was uttered to me by Jan Farley, the Chief Compliance Officer (CCO) of Dresser-Rand. I asked Jan what he meant by the phrase and he...

    How FATF Recommendations on Anti-Money Laundering Inform Your Compliance Program

    The Financial Action Task Force (FATF) is an inter-governmental body established in 1989 by the Ministers of its Member jurisdictions. Its mandate is to set standards and to promote effective implementation of legal, regulatory and operational measures...

    The CCO and Crisis Management

    "What, Me Worry?" is one of my favorite all-time slogans. Anyone who grew up on the 60s or 70s recognizes this comes from Alfred E. Neuman, the enigmatic face of Mad Magazine. While this phrase certainly had its uses for us teenagers back...

    Barbara Tuchman and Compliance Programs

    One of my favorite historians is Barbara Tuchman. One of the first large volumes of history I read growing up was "The Guns of August", her Pulitzer Prize-winning book about the outbreak of World War I. The Library of America has recently...

    The Story of Ajax: Fairness in Rewarding Employee Behaviors

    How does your company deal with the question of fairness in its compliance program? I thought about that question while reading an article in the New York Times (NYT), entitled " That Eternal Question of Fairness ", by Nancy Koehn. In her...

    Ethics Matters

    The word 'ethics' is in the title of this blog. While I rarely write solely on the subject of ethics two recent events caused me to do so today. The first was an article last week by Matt Ellis, writing in his FCPAméricas Blog, who posted...

    Are You a Supervisor?

    As a compliance officer, how far do you need to go in dealing with a problem employee? The Urban case was trying to address this question, but got twisted up in procedural machinations. In dropping the case, the two SEC commissioners didn't explain...

    The BizJet DPA: Cooperation is the Key

    Last week, the Department of Justice (DOJ) announced the resolution of an enforcement action under the Foreign Corrupt Practices Act (FCPA) involving the Tulsa based company, BizJet. The company is in the business of providing aircraft maintenance...

    Mendelsohn and Denniston: A Compliance Dialogue

    Last week I attended the 2012 Global Ethics Summit hosted by Ethisphere. The first event was a conversation between Mark Mendelsohn and Brackett Denniston, Senior Vice President and General Counsel of General Electric (GE). They both had some interesting...

    OCEG Illustrated Series: Managing Corruption Risks

    How do you move off dead center? That was a question posed by my colleague Mary Jones in a recent guest blog post. She gave several concrete steps in answer to her own question. This question was further explored in the January issue of the Compliance...

    Three Keys to the Role of a Chief Compliance Officer

    There is an ongoing debate in the compliance world about whether a company can or should combine or separate the role of the Chief Compliance Officer (CCO) from that of the General Counsel (GC). However, before a company can answer this question, it...

    To Boldly Go…Where the Board Needs to Go

    Belatedly, we boldly go where no Canadian actor has ever gone before, to celebrate yesterday's birthday of William Shatner, Captain Kirk of the original Starship Enterprise. I thought about Captain Kirk and his leadership of the Enterprise in the...

    Biomet: The Latest FCPA Settlement in the Medical Device Industry

    One of the hallmarks of the New Era of FCPA enforcement is the increasing use of industry wide sweeps and investigations. The DOJ and the SEC have been conducting such an inquiry into the medical device industry. The actions against Johnson & Johnson...

    What is ‘Extraordinary Cooperation’ in an FCPA Enforcement Action?

    In the recent BizJet Deferred Prosecution Agreement (DPA), which detailed a litany of corrupt payments made and approved at the highest level of the company to obtain and retain business in Mexico and Panama, the company received a monetary fine of...

    The Biomet SEC Complaint: Lessons for Internal Audit

    On March 26, 2012, both the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ) announced the resolution of enforcement actions against Biomet Inc. a US entity, which manufactures and sells global medical devices around the...

    The FCPA Enforcement Process: Negotiating the Penalty

    I recently explored the issue of 'extraordinary cooperation' in the context of a Foreign Corrupt Practices Act (FCPA) enforcement proceeding and some of the concrete steps that a company could take to reduce its overall penalty assessed by...

    To Give or Not To Give and If So How, Under the FCPA

    To give or not to give? That is certainly a question but it may also include the question of the value of the gift. Under the Foreign Corrupt Practices Act (FCPA) and UK Bribery Act gifts and entertainment continue to bedevil compliance practitioners...

    OECD Report on the SFO and the Bribery Act

    The OECD Working Group On Bribery highlighted the efforts the UK in the anti-corruption area in a most recent report (here). That Report also contains a number of recommendations for future improvements. The Working Group concluded that the SFO and...