Search for: "Samuel Rubenfeld"
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28 Jun 2022, 9:00 pm
Privacy protects us against what Rubenfeld called “an unarmed occupation of individuals’ lives. [read post]
15 Sep 2019, 7:51 pm
For a response to an earlier form of Rubenfeld's argument, see Michael W. [read post]
9 Feb 2018, 6:00 am
[More…] Rabobank Unit to Forfeit $369 Million to Settle Money-Laundering Probe by Samuel Rubenfeld The guilty plea comes about two months after George Martin, a former Rabobank vice president, entered into a deferred-prosecution agreement with the U.S. for his role in aiding and abetting the bank’s failure to maintain an effective compliance program. [read post]
22 Dec 2017, 6:06 am
[More…] Magnitsky Act Compliance is Straightforward, Experts Say by Samuel Rubenfeld The U.S. [read post]
30 Nov 2017, 6:34 am
Lawyers Weigh Impact of Anti-Bribery Changes by Henry Cutter and Samuel Rubenfeld DOJ Expands FCPA Pilot Program by Matt Kelly in Radical Compliance 9-47.120 – FCPA Corporate Enforcement Policy [read post]
12 Oct 2017, 6:00 am
Paper Company Penalized for Breaching Sudan Sanctions by Samuel Rubenfeld in the WSJ’s Risk & Compliance Journal BD White Birch Investment LLC (“White Birch USA”) Settles Potential Civil Liability for Apparent Violations of the Sudanese Sanctions Regulations U.S. [read post]
28 Sep 2017, 6:00 am
Cartier Cartier Fined for Sanctions Violations by Samuel Rubenfeld in the Wall Street Journal OFAC fines Cartier parent company under drug kingpin sanctions by Richard L. [read post]
4 Aug 2017, 6:00 am
SEC Whistleblower Award Sends Message to Government Employees by Samuel Rubenfeld in the Wall Street Journal A $2.5 million award announced by the SEC last week didn’t include the name of the agency where the person worked, the company involved in the misconduct or the nature of the conduct involved, but lawyers representing tipsters and companies in whistleblower cases drew lessons from a footnote attached to the order. [read post]
4 Aug 2017, 6:00 am
SEC Whistleblower Award Sends Message to Government Employees by Samuel Rubenfeld in the Wall Street Journal A $2.5 million award announced by the SEC last week didn’t include the name of the agency where the person worked, the company involved in the misconduct or the nature of the conduct involved, but lawyers representing tipsters and companies in whistleblower cases drew lessons from a footnote attached to the order. [read post]
2 Feb 2017, 5:00 am
House Moves Forward With Plan to Kill Extractive Anti-Graft Rule by Samuel Rubenfeld Stars Align for the Congressional Review Act How Republicans Will Try to Roll Back Obama Regulations [read post]
20 Jan 2017, 5:00 am
Experts Ponder Role of Trump Organization Compliance Counsel by SAMUEL RUBENFELD in WSJ.com’s Risk & Compliance Journal As compliance counsel, the person’s ethical obligation will be to the organization, not to the president, making the role less robust than retaining an independent lawyer to prevent potential conflicts, said Daniel Alonso, a managing director at compliance risk consulting firm Exiger who previously served as a member of the New York State… [read post]
9 Dec 2016, 6:00 am
Finra Fines Credit Suisse Unit Over Money-Laundering Failures by Samuel Rubenfeld in the Wall Street Journal Credit Suisse expected its registered representatives to flag suspicious transactions for the anti-money laundering compliance department, which was then required to investigate the activity, Finra said. [read post]
2 Dec 2016, 7:39 am
Performance Against Money Laundering by Samuel Rubenfeld in WSJ’s Risk and Compliance Journal Ashsish Kumar is a policy analyst for the Financial Action Task Force, an international standard-setting body that provides the roadmap for countries on anti-money laundering and counter-terrorist financing. [read post]
11 Aug 2016, 6:16 am
Sources: SEC Action for Stifling Whistleblowers in Confidentiality Agreements SEC Penalizes Company Over Restrictive Severance Agreements by Samuel Rubenfeld in the Wall Street Journal Company Paying Penalty for Violating Key Whistleblower Protection Rule SEC order against BlueLinx The Rise of the Professional Whistleblower Whistleblowers Are Poised to Collect $100 Million Hybrid group of professional whistleblowers and insiders on cusp of huge awards by Bruce Carton [read post]
10 Jun 2016, 7:16 am
Offers Rare Account of Why It Didn’t Pursue Bribery Charges by Samuel Rubenfeld in WSJ.com’s Risk & Compliance Journal As the Securities and Exchange Commission announced it reached non-prosecution agreements in two unrelated foreign-bribery cases, the U.S. [read post]
13 May 2016, 5:30 am
[More…] Yates Assesses Effects of ‘Yates Memo’ by Samuel Rubenfeld in the WSJ.com’s Risk & Compliance Journal Ms. [read post]
13 Nov 2015, 6:07 am
Compliance Officers Think Regulators Are Targeting Them By Samuel Rubenfeld in the Wall Street Journal’s Risk & Compliance Journal Thomson Reuters, for its Personal Liability Report, found that 93% of compliance professionals expect their personal liability to increase over the next year, with 64% of them expecting a “significant” increase. [read post]
23 Apr 2015, 5:14 am
” – Andrew Ceresney, Director of the SEC’s Division of Enforcement Sources: SEC Announces Million-Dollar Whistleblower Award to Compliance Officer SEC order SEC Awards More than $1.4 Million to Whistleblower Compliance Officer by Samuel Rubenfeld in the WSJ.com’s Risk & Compliance Journal The New SEC Whistleblower Rule The post Compliance Officer Earns Million-Dollar Whistleblower Award appeared first on Compliance Building. [read post]
12 Mar 2015, 6:00 am
Public Interest Research Group (PIRG) Sources: Letter to FinCEN (.pdf) Corruption Currents: Treasury Urged to Rule on Real Estate Risks by Samuel Rubenfeld in WSJ.com’s Risk & Compliance Report Towers of Secrecy by Louise Story and Stephanie Saul in the New York Times Treasury Urged to Scrutinize Foreign Real Estate Buyers for Money-Laundering Risk by Stephanie Saul in the New York Times U.S. [read post]
21 May 2014, 4:47 am
Appeals Court Defines ‘Instrumentality’ Under the FCPA for First Time by Samuel Rubenfeld in WSJ.com’s Risk and Compliance Journal FCPA: The First Circuit Court Decision Defining Instrumentality by Thomas O. [read post]
