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Entries in Morgan Stanley (37)

Monday
Feb062017

Allanna Skeels: Fraud against organizations shifts to the cyber realm

There is an evident shift in fraud typologies away from traditional real world frauds, such as card skimming, fraudulent documents, social engineering, etc., toward cyber frauds, such as cyber intrusion, phone cloning, malware and fake apps (mal-apps).

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Tuesday
Aug232016

Compliance Alert: Enforcement hammer falls on real estate

Regulators charged with enforcing anti-corruption, anti-money laundering, and economic sanctions laws and regulations have turned new attention to the real estate industry, and investigations and enforcement efforts span the globe.

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Thursday
Aug182016

This Morgan Stanley isn't the Morgan Stanley you think it is

The UK Financial Conduct Authority issued a warning Monday about a cloned firm using Morgan Stanley's name and London address to take money from victims.

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Wednesday
Feb242016

HSBC: SEC investigating Asia hiring practices

HSBC Holdings said in an earnings release Monday that the SEC is investigating the bank's hiring practices in Asia.

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Tuesday
Sep152015

Brazil investigates big banks for exchange rate manipulation

Brazil's antitrust agency opened an investigation into fifteen foreign banks and thirty individuals for allegedly forming a cartel to manipulate exchange rates of local Brazilian reals and foreign currency.

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Tuesday
Aug182015

BNY Mellon pays $15 million in FCPA settlement for internship hiring practices

The Securities and Exchange Commission Tuesday said BNY Mellon agreed to pay $14.8 million to settle charges that it violated the Foreign Corrupt Practices Act by providing valuable student internships to family members of foreign government officials affiliated with a Middle Eastern sovereign wealth fund.

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Wednesday
Aug052015

Report: DOJ hires expert to evaluate target company compliance programs

There were reports last week that the DOJ is hiring a compliance expert. He or she will help evaluate whether to charge corporations that fail to detect and prevent wrongdoing by employees.

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Tuesday
Jun162015

PetroTiger joins Morgan Stanley with rare DOJ public declination

For only the second time in FCPA history, the DOJ Monday made a public announcement that it wouldn't prosecute a company that cooperated in building a case against a former officer.

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Tuesday
May192015

New SEC subpoena asks if BNY Mellon hired government officials

In a securities filing this month, Bank of New York Mellon Corp. said it received a subpoena from the SEC asking about job offers to government officials and internships awarded to their family members.

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Wednesday
Jan282015

SEC recommends FCPA charges against BNY Mellon for sovereign wealth fund practices

Bank of New York Mellon Corp. said the SEC has recommended an enforcement action for possible FCPA violations related to the bank's dealings with sovereign wealth funds.

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Monday
Oct272014

DOJ position on anti-trust compliance programs needs a make over

In the FCPA area we all know how important it is to have effective compliance programs. The DOJ’s Criminal Division and the SEC have emphasized that these programs need to be diligent, and not mere formalities. Moreover, we know that programs count to the enforcers, so we have a reason to listen to them. The FCPA Guidance tells us this, and declinations such as Morgan Stanley demonstrate it.

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Thursday
May082014

SEC expands probe of bank hiring practices

The SEC has expanded its investigation into several large banks' hiring practices in Asia, requesting more information that could show the firms violated the FCPA by hiring relatives of well-connected officials.

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