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Bribery & Corruption
United States
This section includes initiatives by the FCPA, Transparency International US, TRACE International, US DoJ among others.
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SEC brings Cybersecurity Enforcement for internal control failures
RRD’s cybersecurity incident disclosure controls were ineffective in promptly delivering all pertinent information to management for decision-making, lacking clear guidance for reporting personnel. Their incident response policies did not set clear priorities or provide sufficient procedures for internal or MSSP personnel…
US SEC announces the top four securities enforcement developments from April 2024
The US SEC recently won courtroom victories in insider trading and crypto actions, initiated its first off-channel communications action and initiated the second round of settled actions under the Advisers Act Marketing Rule…
US SEC has charged three New Yorkers with raising over $184m through pre-IPO fraud schemes
SEC charges defendants with violating antifraud and federal securities laws, seeking permanent injunctive relief, return of gains, and civil penalties…
FinCen 2020 investigation into a Ukrainian oligarch’s property portfolio among 25 cases of allegedly gotten funds being funneled into the sector
A recent report by anti-corruption advocacy organizations reveals that over the past 20 years, at least $2.6billion of illicit or suspicious funds have been invested in commercial real estate in the US…
US DoJ announces ringleader and company insider admit to defrauding biochemical company and transferring products to China through falsified export documents
The US DoJ has declined to prosecute MilliporeSigma, citing factors in the Department’s Principles of Federal Prosecution of Business Organizations and the National Security Division Enforcement Policy for Business Organizations. The policy assumes companies self-disclose potential violations, cooperate, and remediate promptly, unless aggravating factors exist…
FBI announces major worldwide disruption of malware in international cyber operation
The FBI has announced Operation Endgame, a multinational cyber operation involving the US, Denmark, France, Germany, the Netherlands, and the UK, with Europol and Eurojust’s assistance. FBI’s continued fight against cybercrime and malware-as-a-service models…
SEC charges Intercontinental Exchange and nine affiliates including the New York Stock Exchange failing to inform the commission of a cyber intrusion
The Securities and Exchange Commission announced that the intercontinental exchange, Inc. agreed to pay a $10 million penalty to settle charges that it caused the failure of nine wholly-owned subsidiaries, including the New York Stock Exchange, to inform the SEC of a cyber intrusion as required by Regulation Systems Compliance and Integrity…
OFAC has imposed sanctions on a Russian institution and gold companies based in Nicaragua, aiming to undermine the Ortega-Murillo regime’s ability to exploit the sector and profit from corrupt operations
The Ortega-Murillo regime’s ability to manipulate the gold market and make money from corrupt practices, as well as its repression of the Nicaraguan people, are the targets of the Department of Treasury’s OFAC…
US DoJ sentences ponzi schemer to over 14 years in prison for $11m fraud convictions
Pigida was informed by US District Judge during his sentencing hearing that he had misused the court’s trust by evading prosecution. Pigida’s fraud was characterized by the judge as a extensive, elaborate, complex scheme that caused his victims immense harm…
SEC charges audit firm BF Borgers and its owner with massive fraud affecting more than 1,500 SEC filings
The SEC announced settled enforcement proceedings against audit firm BF Borgers CPA PC and its owner, Benjamin F. Borgers, charging them with deliberate and systemic failures to comply with PCAOB standards in their audits and reviews of hundreds of public companies, which were incorporated in more than…
GFI, The FACT Coalition and ADC issues report on illicit funds in US commercial property, analysing 25 case studies
This new report identifies 25 cases in which illegal, allegedly illicit, or suspicious funds were funneled into commercial property over the last 20 years, with a total value of property purchased exceeding $2.6 billion. To no surprise, California, Florida and New York are some of the most favored locations for these illegal investments, but criminals stashed money across some 20 different states.
SEC announces that Genesis has agreed to pay $21M penalty to settle charges for violating securities laws for its role with the now-defunct Gemini Earn program
Genesis Global Capital, LLC agreed to a final judgment ordering it to pay a $21 million civil penalty and imposing a permanent injunction to settle charges that it engaged in the unregistered offer and sale of securities through a crypto asset lending program known as the Gemini Earn program.