The United States Securities and Exchange Commission (SEC) has announced that jewellery trader DGSE Companies (DGSE) and its former chief financial officer (CFO) John Benson have agreed to settle the SEC's complaint (27 May 2014).
The United States Securities and Exchange Commission (SEC) has announced that five individuals including former vitamin company NBTY director Glenn Cohen have agreed to pay a total of more than US$500,000 to settle charges (22 May 2014) of insider trading.
The Brazil Supreme Court of Justice has handed down its decision in a compensation dispute over two-decade-old savings, deciding that banks failed to pay fair interest on deposits during 1987 - 1992. Reportedly, the depositors claimed that the interest paid by the banks on their savings failed to keep pace with rising prices during a period when the government sought to address hyperinflation by regulating interest rates on savings.
The United States Department of Justice (DoJ) has announced that a federal grand jury has indicted automotive parts manufacturer Tokai Rika executive Hitoshi Hirano.
Pharmaceutical company Boehringer Ingelheim (BI) has announced that it has reached a US$650 million settlement of claims filed in the United States in relation to its stroke prevention product Pradaxa.
The United States Department of Justice (DoJ) has announced that medical technology company Medtronic has agreed to pay US$9.9 million to resolve allegations that it "used various types of payments to induce physicians to implant pacemakers and defibrillators manufactured and sold by Medtronic".
Matthew Teeple, a former analyst at hedge fund Artis Capital Management, has pleaded guilty in the United States District Court for the Southern District of New York to insider trading charges and agreed to forfeit US$553,890.
The United States (US) Securities and Exchange Commission (SEC) has ordered (20 May 2014) that James Adams be banned from practising as an accountant before the SEC for two years in order to settle charges that he breached auditor independence rules in his former role of Deloitte chief risk officer.
Bank group Credit Suisse has announced that it has "entered a guilty plea to one count of conspiracy to assist [United States (US)] customers in presenting false income tax returns to [US tax authority the Internal Revenue Service (IRS)] ... in connection with [Credit Suisse's] former Swiss-based cross border private banking business".
- Anti-Bribery & Anti-Corruption (32)
- Anti-Money Laundering (1)
- Authors (34)
- Business Ethics & Corporate Culture (28)
- Careful Communication & Proper Use of Computers (3)
- Code of Conduct (3)
- Competition (8)
- Compliance & Ethics Learning (1)
- Compliance & Ethics Risk Management (11)
- Compliance Programs -- In Practice (37)
- Confidentiality & Intellectual Property (5)
- Conflicts of Interest (2)
- Consumer Protection (0)
- Corporate Responsibility & Sustainability (1)
- Employment & Workplace Issues (12)
- Environment, Health & Safety (9)
- European Perspective (4)
- Financial Integrity (1)
- Government Contracting (6)
- GRC Technology (0)
- Information Security (2)
- Insider Trading (5)
- Other (3)
- Privacy & Data Protection (15)
- Records Management (0)
- Respect in the Workplace (0)
- Risk Management (8)
- Providing employees with a framework for ethical… Written by Jamie McKillop 2012-01-18 01:36:42 Improving Organizational Behavior (Expert Commentaries)
- Many companies find sexual harassment to be… Written by Jamie McKillop 2012-01-18 01:35:35 Employment Law Regarding Harassment (Expert Commentaries)
- Vignettes and enactments are effective tools in… Written by Mary Snyder 2012-01-12 17:15:57 Employment Law Regarding Harassment (Expert Commentaries)