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Bill Waite Contributing Editor

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Russell A. Stamets Contributing Editor

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FCPA Blog Daily News

Entries in Mary Jo White (16)


SEC: 14,000 tips later, whistleblower award program has ‘transformed the agency’

After this week's $22 milion award to a whistleblower, SEC leaders called the whistleblower program a game changer that has transformed the SEC's ability to protect investors.

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Ethisphere honors for Richard Bistrong

Our contributing editor Richard Bistrong was named one of Ethisphere's 100 Most Influential in Business Ethics for 2015.

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After VW: Why corporate America should embrace whistleblowers

According to its website, VW adopts “a preventive compliance approach and foster[s] a corporate culture that stops potential breaches before they occur.” Well, apparently it does not.

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Alex Brackett: SEC ‘broken windows’ enforcement policy is showing FCPA results

In October 2013, SEC Chairwoman Mary Jo White announced a broken windows enforcement policy to “pursue even the smallest infractions” of U.S. securities laws, including the FCPA, as a means of deterrence. 

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Practice Note: SEC proposes rule changes to ‘modernize’ administrative proceedings

The SEC proposed Thursday to change the way it conducts administrative proceedings by widening discovery for both parties and requiring pleadings to be handled and served more efficiently.

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SEC: We aren't targeting compliance professionals, but . . . 

Over the past couple of years, the SEC and its chair, Mary Jo White, have given compliance officers plenty of face. Compliance officers are gatekeepers. They guard the integrity of the markets. They have a hard job and need to be protected.

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SEC: We ♡ whistleblowers (and compliance officers)

Securities and Exchange Commission Chair Mary Jo White (Image courtesy of C-Span)Here's some of what SEC chair Mary Jo White had to say last week in a speech at Northwestern University School of Law in Chicago, Illinois. Her talk was called "The SEC as the Whistleblower's Advocate."

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Feds to in-housers: Keep the rest of us in line

As we said a couple of days ago, the traditional ancient duty of lawyers was advocacy, not enforcement. Asking lawyers to be the hall monitors for corporate America and beyond isn't an advocacy role. In fact, it conflicts with advocacy and, as we said yesterday, puts in-housers at risk.

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SEC ‘streamlines’ case against Noble execs

As first reported last week by Sam Rubenfeld of the Wall Street Journal, the SEC dropped internal controls charges in a civil FCPA action against a current and a former executive at Noble Corporation in order to “streamline the presentation” of the case.

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SEC chief charts 2014 enforcement: More admissions and personal liability

Mary Jo White, Chair of the Securities and Exchange Commission, outlined her agency's regulatory and enforcement priorities for 2014 during a talk Monday at the Annual Securities Regulation Institute.

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New on SEC agenda: protecting compliance officers

No one can say they haven't been warned by the SEC (and the authors of the latest Hughes Hubbard FCPA/Anti-Bribery Alert) not to interfere with compliance officers.

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SEC annual report touts FCPA enforcement 

The U.S. Securities and Exchange Commission (SEC) published its fiscal year 2013 Agency Financial Report (AFR) to detail its financial and performance results for the President, Congress and public at large. Its purpose is portray its accomplishments and strategic goals for the next year, as well as its financial picture for budget planning. The report discusses its enforcement actions related to the FCPA in the past year, and the guidelines it provided businesses in complying with the law.

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