Search for: "Samuel Rubenfeld"
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16 Jan 2013, 6:48 am
Sources: Los Angeles Check Cashing Store, Its Head Manager and Compliance Officer Sentenced for Violating Anti-money Laundering Laws Los Angeles Check-Cashing Store, Manager, Compliance Officer Sentenced by Samuel Rubenfeld in WSJ.com’s Corruption Currents [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]
15 Sep 2019, 7:51 pm
For a response to an earlier form of Rubenfeld's argument, see Michael W. [read post]
28 Jun 2022, 9:00 pm
Privacy protects us against what Rubenfeld called “an unarmed occupation of individuals’ lives. [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]
10 Jun 2011, 9:00 am
Lockheed Martin Gets Into Step With UK Bribery Act With New Policy by Samuel Rubenfeld in WSJ.com’s Corruption Currents In one of the first examples of a multinational company publicly adapting its compliance procedures to the U.K. [read post]
9 Mar 2012, 10:36 am
” For a good summary, read “White House Launches Ethics.gov” by Samuel Rubenfeld in The Wall Street Journal. [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]
26 Aug 2011, 5:00 am
Well worth an hour of your time Survey Finds Compliance Chiefs Doing Little Compliance-Related Work by Samuel Rubenfeld in WSJ.com’s Corruption Currents A survey of corporate compliance professionals in the financial services industry found that 41% of them spend less than half of their time on compliance-related issues. [read post]
22 Dec 2017, 6:06 am
[More…] Magnitsky Act Compliance is Straightforward, Experts Say by Samuel Rubenfeld The U.S. [read post]
18 Jun 2012, 5:39 am
. (“ING Bank”) ING Bank Forfeits $619 Million In Largest-Ever OFAC Settlement by Samuel Rubenfeld in WSJ.com’s Corruption Currents Amsterdam Zuidoost ING-Bank is by Pieter Delicaat http://www.treasury.gov/resource-center/sanctions/CivPen/Documents/06122012_ing_agreement.pdf [read post]
13 Jun 2011, 5:00 am
Sources Expose bungs on Twitter, says SFO by Caroline Binham in the Financial Times SFO Pushes Twitter As Way To Report Corruption by Samuel Rubenfeld in WSJ.com’s Corruption Currents Twitter forced to hand over personal information after council launches legal action using taxpayers’ money Paying a Bribe? [read post]
15 Jun 2012, 5:00 am
ING Bank Forfeits $619 Million In Largest-Ever OFAC Settlement by Samuel Rubenfeld in WSJ.com’s Corruption Currents The ING Bank NV unit moved billions of dollars from the early 1990s until 2007 through the U.S. financial system on behalf of Cuban, Burmese, Sudanese, Libyan and Iranian clients by stripping out data embedded in payment messages that would have identified the illegal nature of the transactions, according to the settlement agreement signed by the bank and the… [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]
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]
27 Dec 2010, 5:00 am
Sources: Impact of Qui Tam Laws on Internal Corporate Compliance from the National Whistleblowers Center NWC Report Proves that Qui Tam Statutes Have “No Negative Impact” on Compliance Programs by Lindsey Williams in the Whistleblower Protection Blog Whistleblower Group Issues Report Saying Cash Incentive Doesn’t Drive Informants To Authorities by Samuel Rubenfeld in Corruption Currents Report Proves that Qui Tam Statues Have “No Negative Impact” on… [read post]
11 Jul 2011, 4:59 am
Sources: FCPA Opinion Procedure Release 11-01(.pdf) DOJ Says Travel Sponsorship Doesn’t Violate Bribery Law by Samuel Rubenfeld in WSJ.com’s Corruption Currents Gifts & Opinion Releases by Howard Sklar in Howard@OpenAir Opinion Release 11-01: A Good Reason To Do Some Research by Tom Fox in FCPA Compliance and Ethics Blog Corrupting International Adoption by James R. [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]
23 Feb 2011, 5:00 am
” Sources: FinCEN Advisory 2011-A002 Guidance to Financial Institutions on Recent Events in Egypt Egypt freezes Mubarak’s assets by Salah Nasrawi and Maggie Michael for the Associated Press Egypt Requests Freeze On Mubarak’s Assets by Samuel Rubenfeld in WSJ.com’s Corruption Currents Image of Muhammad Hosni Mubarak, President of Egypt addressing the Opening Plenary session of the World Economic Forum on the Middle East 2008 held in Sharm El Sheikh,… [read post]
