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Entries in Due Diligence (93)

Wednesday
Jan202016

Sundar Narayanan: Is your next compliance problem at a toll booth in Delhi?

Delhi recently started enforcing new traffic regulations to reduce pollution levels. In October 2015, the city -- properly the National Capital Territory, where 10 million people live -- imposed a Green Tax on vehicles. 

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Thursday
Jan142016

Brooke Hopkins: But is your compliance program scalable? 

The DOJ and SEC haven't used the word "scalable" to describe an effective compliance program. But they've described scalability when talking about what's needed.

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Tuesday
Dec292015

UK deterrence failure: High value dealers in ‘showpiece’ assets avoid prosecution

Luxury goods retailers selling high-end cars, boats, private jets, art, antiques and jewellery are being used by the corrupt to hide the illegal proceeds of crime -- and to escape detection, Transparency International said.

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Wednesday
Dec232015

Martin Kenney: Overcome fear of fraud with on-the-mark due diligence

It's a worrying time for executives. According to Kroll’s 2015 Global Fraud Report, some 40 percent of respondents felt vulnerable to corruption and bribery.

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Tuesday
Dec222015

Practice note: Audit rights power up a compliance program 

At November’s 32nd ACI Foreign Corrupt Practices Act conference in Washington, DC, the DOJ’s new Compliance Counsel, Hui Chen, emphasized that compliance programs need to be real and not just paper programs. 

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Monday
Nov302015

Barclays fined $108 million for kowtowing to rich PEPs

The UK Financial Conduct Authority fined Barclays Bank £72 million ($108 million) Thursday for rushing to serve rich politically exposed persons and keeping their deal secret.

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Thursday
Nov192015

Field trip: Conducting preliminary market visits

In the e-book we wrote as a guide to navigating corruption challenges in emerging markets, we talk in one chapter about the particular risks companies face when they enter new markets.

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Tuesday
Nov172015

New markets: Where to start your risk assessment

We wrote an e-book as a guide to navigating corruption challenges in emerging markets. 

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Thursday
Nov122015

Compliance alert: Fly-by-Night companies in Russia pose special risks

A major risk for inbound investors in Russia is inadvertent exposure (often under the aegis of third parties) to a type of shell entity called a Fly-by-Night company.

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Tuesday
Oct062015

Let's close the American real estate money-laundering gap

This summer, the TV documentary From Russia with Cash frayed political nerves, exposing London real estate agents keen to accept cash from “Boris,” an undercover journalist masquerading as a corrupt Russian health minister.

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Wednesday
Jul222015

U.S. regulators knock compliance at China Construction Bank

The U.S. Federal Reserve and the New York Department of Financial Services said China's second biggest bank has to improve its anti money-laundering practices and do more due diligence on customers.

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Wednesday
Jun242015

Joseph Spinelli: Risk assessments should be functional and geographical

In our 2015 ABC Report, Kroll asked respondents to identify what they considered to be the type of corrupt behavior the chief compliance officer must guard against.

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