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Richard L. Cassin Publisher and Editor

Andy Spalding Senior Editor

Jessica Tillipman Senior Editor

Elizabeth K. Spahn Editor Emeritus

Cody Worthington Contributing Editor

Julie DiMauro Contributing Editor

Thomas Fox Contributing Editor

Marc Alain Bohn Contributing Editor

Bill Waite Contributing Editor

Shruti J. Shah Contributing Editor

Russell A. Stamets Contributing Editor

Richard Bistrong Contributing Editor 

Eric Carlson Contributing Editor

Bill Steinman Contributing Editor

Aarti Maharaj Contributing Editor


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FCPA Blog Daily News

Entries in Sarbanes-Oxley Act (7)

Tuesday
Feb072017

FCPA whistleblower: Former Bio-Rad GC awarded $10 million for retaliatory firing

A federal jury in San Francisco took just three hours Monday to decide that Bio-Rad Laboratories Inc. retaliated against former general counsel Sanford “Sandy” Wadler for reporting FCPA violations.

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Thursday
Oct062016

SEC brings its first stand-alone whistleblower retaliation action

The SEC last week brought its first enforcement action based solely on retaliation against a whistleblower. Casino-gaming company International Gaming Technology (IGT) agreed to pay a $500,000 penalty to settle the SEC's enforcement action.

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Monday
Mar092015

Are FCPA books and records and internal controls defenses becoming obsolete?

Many of us scratched our head in 2010 when the Oracle FCPA enforcement action came out. We didn't understand how a company could be prosecuted, even civilly by the SEC for internal controls or book and records violations, without evidence that bribes had been paid. But after the past few months, I think Oracle was a precursor to a strict liability standard that's coming to FCPA enforcement.

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Thursday
Aug072014

CEO and CFO charged with SOX violations for hiding internal controls problems

The SEC last week charged two officers of a now bankrupt computer equipment company with misrepresenting the state of its internal controls over financial reporting.

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Friday
Jun062014

SEC turns 80 -- shows little signs of slowing down

June 6 is the U.S. Securities and Exchange Commission's 80th birthday. It's a good reason to revisit the agency's role in regulating the world's biggest securities market and the varying interpretations of its mission.

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Thursday
Jun052014

Federal judge expands meaning of 'whistleblower' beyond other ruling

A federal district court ruled in May that whistleblowers don't have to report to the SEC to receive protection against retaliation by their employers.

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Monday
Oct212013

Siemens compliance officer retaliation suit dismissed

A federal lawsuit by the compliance officer for Siemens' healthcare business in China who said he was fired for internally reporting FCPA violations was dismissed Monday. The U.S. District Court in New York said the anti-retaliation provisions of the Dodd-Frank Act don't apply outside the United States.

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