When an investigation is required within your company, do you do it internally or hire an outside firm to conduct an external investigation? Which is the better option depends on a number of factors and the specific people and activities being investigated. You need...
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White Collar Crimes
Do you know the full ramifications of SOX Act violations?
If you weren’t in the business world twenty years ago when the Sarbanes-Oxley (SOX) Act became law. You may not realize the impact it had on the way publicly held American companies report their financial information. The law was passed after a number of high-profile...
How to maintain an ethical workplace culture
Having a strong ethical culture is very important to your company. It influences the perception customers, employees, and stakeholders have about the company while also ensuring effective compliance risk management. Developing an ethical workplace policy may take...
Allegations of mortgage fraud require swift action
The government takes all forms of financial institution fraud quite seriously. One of the illegal actions that falls into this category is mortgage fraud. While it can take several forms, at its core it involves misrepresenting financial records or omitting facts in...
Are you prepared for a SEC investigation?
Learning that your company has come under the scrutiny of the Securities and Exchange Commission (SEC) can be understandably fear-inducing. You may not even understand how your company drew the attention of the SEC in the first place. But now is not a time for...
Could you be accused of “muling” money?
There are many different ways to launder money when you are reaping the financial rewards of an illegal enterprise. One that has become increasingly popular in the cyber age is to recruit people — associates, friends and even strangers targeted on the internet — to...
Will Companies Still Cooperate Under New DOJ Rules?
White collar crime is something that happens at both the corporate level and the individual level, and the Department of Justice addresses both. However, many of the new rules that they have introduced apply to corporations, and they may impact the way that the DOJ...
Corporate monitorships and corporate crimes: What you should know
In the event of past corporate malfeasances, a corporation may require oversight as they move on in the future. The commission of such oversights typically lies with corporate monitors. Although individuals might have heard the term corporate monitorship before, or...
Cooperating with a competitor during bidding could be criminal
If you work in construction or another industry where you bid on public contracts, the price you charge will directly impact the likelihood of the government hiring you to do certain work. Your reputation and work history matter, but often not as much as the bottom...
Understanding the laws regarding best execution
Investment and other financial professionals have a duty to act in what they believe to be the best interests of their clients. This isn’t just an ethical responsibility – it’s a legal one. The Securities and Exchange Commission (SEC) has strict regulations and...