News + Events

June 30, 2022 | Blog Compliance Monitoring Risk + Compliance

The Sky Will Not Fall with New Justice Department CEO / CCO Certifications; Instead, the Sun Will Shine

Despite an industry uproar, the sky is NOT falling with the U.S. Department of Justice (“DoJ”) requirement that chief executive officers (“CEOs”) and chief compliance officers (“CCOs”) certify that their compliance programs are effective.

Instead, a warm productive sunlight will shine upon CCOs and companies. That’s because these CEO / CCO certifications – if done well with independent validation – will empower the CCO while holding the CEO, C-suite, and their business executives more accountable for their conduct and compliance.… Read More

June 28, 2022 | Articles | FBI Law Enforcement Bulletin

Focus on Training – Addressing the Opioid Epidemic

Bill Matthews takes an insightful look at why training that reaches not just law enforcement personnel but also community members is crucial to addressing the opioid crisis. Read More

June 28, 2022 | Blog Compliance Due Diligence

How Universities Can Prevent Faculty Prosecutions for Failure to Disclose Foreign Affiliations

Lost in the uproar over the China Initiative that the Justice Department eventually shut down was the role of universities in ensuring compliance with disclosure requirements related to foreign affiliations. In at least some of the cases, signs of potentially inappropriate affiliations seem to have been missed by university officials, leading to intrusive and disruptive criminal investigations.  Even in cases where a prosecution is successful, you must ask whether it was worth it when it could have all been so … Read More

June 23, 2022 | Blog Financial Crime Consulting

The Looming Bear Market is Likely to Bring More Prosecutions

When the tide goes out, as it appears to be doing now with the market down 20% percent from its highs in January, bad actors will be left exposed for everyone to see. Simply put, as the market drops those companies hiding behind lofty share prices and astronomical crypto values will be scrutinized to determine if financial fraud and white-collar crime was behind this activity.

The Department of Justice recently brought two significant, complex cases that illustrate this point when … Read More