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Investigations and Enforcement Blog
The Investigations and Enforcement Blog, published by Steptoe LLP, focuses on legal developments related to government investigations, enforcement actions, and compliance issues. It covers topics such as national security enforcement, export controls, anti-corruption measures, employee privacy laws, and regulatory compliance across various jurisdictions. The blog discusses enforcement strategies by U.S. agencies, legislative changes affecting employer investigations, and international compliance rankings. It also addresses the intersection of technology and national security, including export restrictions on disruptive technologies and related prosecutions. The content is relevant for legal professionals monitoring enforcement trends and regulatory updates in investigations and compliance.
Latest from Investigations and Enforcement Blog - Page 7
Another Talents Program Indictment Underscores Importance of Strong Compliance Program and Cooperation with Law Enforcement
Yet another prosecution alleging that an academic failed to report ties to China illustrates the government’s multi-agency focus on this issue and the costs and pressures imposed on U.S. universities.
A Texas A&M engineering professor and NASA researcher was arrested…
FinCEN Publishes Statement Setting Forth Agency’s Approach to BSA Enforcement
On August 18, 2020, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) published a statement outlining the agency’s approach to enforcement of the Bank Secrecy Act (“BSA”), including anti-money laundering (“AML”) regulations issued by FinCEN pursuant to…
Employee of Varsity Blues Mastermind William ‘Rick’ Singer and Varsity Blues Whistleblower Plead Guilty
By Will Drake & James Purce
On March 5, 2019, federal prosecutors indicted Mikaela Sanford, former employee of Varsity Blues mastermind William “Rick” Singer, alleging a racketeering conspiracy between Sanford, two proctors for the ACT and SAT exams, and 12 coaches and officials from Georgetown University,…
Whistleblowing and Internal Investigations
In May 2020, the U.K. Financial Conduct Authority, the authority charged with regulating financial firms and maintaining the integrity of the financial markets in the United Kingdom, reported that whistleblowing reports to the Financial Conduct Authority on workplace culture issues…
DOJ Continues Its Aggressive Approach in Cases Involving Academics with China Ties
Federal prosecutors recently brought new indictments against U.S. academics in two separate cases involving alleged unreported ties to China. The Department of Justice moved forward its cases against the Harvard and University of Arkansas-affiliated professors as part of a broader…
SEC Leadership Changes Are Afoot
There have been two moves in SEC leadership over the last week that warrant attention.
First, last week, the SEC announced that Division of Enforcement Co-Director Steven Peikin will leave the agency at the end of this week. Stephanie Avakian, who…
The Financial Reporting Council’s Bite Proves Worse than its Bark
By Zoe Osborne & Peter Ibrahim
The Financial Reporting Council (FRC) is an independent regulatory body in the U.K. and Republic of Ireland (ROI) responsible for regulating auditors, accountants and actuaries. The FRC and its subsidiaries also play important roles in the oversight and development of…
Senator Grassley May Seek Limits on DOJ’s Authority to Dismiss Qui Tam FCA Complaints
In a speech on the Senate floor last week, Senator Chuck Grassley (R-IA) announced that he plans to introduce legislation aimed at limiting the scope of the Department of Justice’s False Claims Act dismissal authority. Specifically, Sen. Grassley’s anticipated legislation…
US Export Controls and Economic Sanctions Investigations: The Perils of Parallel Proceedings (Part 5 of 5, Global Settlements)
Global settlements, Part 5 of this series, require careful attention by counsel and parties in parallel proceedings. A global settlement may include just one settlement agreement, but is more likely to include multiple settlement agreements with different government agencies (including…