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Genesis Global Trading closed its U.S. spot trading operations in September. Its parent company, Genesis Global Holdco, filed for bankruptcy a year ago. Photo: Gabby Jones/Bloomberg NewsCrypto brokerage firm Genesis Global Trading has agreed to pay $8 million in a settlement with New York state’s financial regulator over alleged failings in its anti-money-laundering and cybersecurity programs. Genesis Global Trading, part of the now-bankrupt Genesis Global Holdco LLC, closed its U.S. spot crypto trading operations in September and is in the process of winding down. As part of its settlement with the New York State Department of Financial Services, the trading unit will surrender its BitLicense, which allowed it to operate a crypto business in New York, the regulator said in a statement Friday.
Persons: Gabby Jones Organizations: Genesis, Bloomberg, New York, Global, New York State Department of Financial Services Locations: New, New York
Mallinckrodt didn’t admit or deny the SEC’s findings. Photo: Whitney Curtis/Associated PressThe U.S. Securities and Exchange Commission said Mallinckrodt failed to tell investors it had potentially overcharged Medicaid for its flagship drug, but the regulator waived a $40 million civil penalty partly because the pharmaceutical company agreed to hire a compliance consultant. The SEC said in an administrative proceeding Thursday that the Centers for Medicare and Medicaid Services informed Mallinckrodt as early as 2016 that the company was using an incorrect rebate rate for its sales of Acthar Gel, a drug used to treat several rare autoimmune diseases, which meant it was overcharging state Medicaid programs for the drug.
Persons: Mallinckrodt didn’t, Whitney Curtis, Mallinckrodt Organizations: Associated Press, U.S . Securities, Exchange Commission, SEC, Medicare, Services
Tysers Insurance Brokers will pay a $36 million criminal penalty, while H.W. Wood will only pay a $508,000 penalty due to its financial condition, the Justice Department said. Photo: Jose Luis Magana/Associated PressThe Justice Department has settled with two U.K.-based reinsurance brokers that admitted to participating in a scheme to bribe Ecuadorean government officials. Tysers Insurance Brokers and H.W. Wood have agreed to enter into three-year deferred prosecution agreements filed in the Southern District of Florida.
Persons: Wood, Jose Luis Magana Organizations: Tysers, Justice Department, Associated Press The Justice, Tysers Insurance, Southern District of Locations: H.W, Southern District, Southern District of Florida
U.K. Foreign Secretary James Cleverly. Photo: Tayfun Salci/Zuma PressThe U.K. government has sanctioned 29 entities and individuals operating in and supporting Russia’s gold and oil sectors, in an effort to cut off revenue streams funding its war in Ukraine. Entities sanctioned Wednesday include Nord Gold and Highland Gold Mining, two of the largest producers of Russian gold, and Paloma Precious DMCC, a United Arab Emirates-based network the U.K. said has channeled more than $300 million in gold revenue to Russia.
Persons: James, Tayfun Salci, Paloma Precious DMCC Organizations: Foreign, Zuma, Nord, Highland Gold Mining, United Locations: Ukraine, Nord Gold, United Arab Emirates, Russia
Deputy Attorney General Lisa Monaco, shown in April, emphasized in a speech in October the importance of taking national security concerns into account when evaluating a target company. Photo: Eric Lee/Bloomberg NewsA Justice Department policy shift around the disclosure of possible wrongdoing uncovered in mergers and acquisitions reinforces the need for buyers to dive deep into a target’s compliance efforts, both before and after a deal closes, corporate advisers said. Under a new policy announced in October, an acquiring company that discloses potential wrongdoing at a company being acquired within six months of either side of the deal closing date—and fully cooperates and fixes the underlying problems within a year of closing—can presume it won’t be prosecuted by the Justice Department.
Persons: Lisa Monaco, Eric Lee Organizations: Bloomberg, Justice Department
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/aci-worldwide-agrees-to-pay-10-million-over-inadvertent-mortgage-payment-withdrawals-1188394f
Persons: Dow Jones Organizations: aci
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/u-k-regulator-tackles-bullying-and-harassment-in-the-financial-services-sector-b50139b6
Persons: Dow Jones
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/3m-agrees-to-pay-nearly-10-million-over-sale-of-products-to-iran-298e8499
Persons: Dow Jones Locations: iran
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/sec-charges-investment-adviser-linked-to-russian-oligarch-roman-abramovich-2decbea5
Persons: Dow Jones, abramovich, 2decbea5
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/doj-to-surge-resources-at-corporate-crimes-with-national-security-implications-317eca16
Persons: Dow Jones
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/archipelago-trading-settles-sec-probe-over-suspicious-activity-report-requirements-901c5fef
Persons: Dow Jones
Neogen Says Iran Sanctions Probe Concluded Without Fine
  + stars: | 2023-08-17 | by ( David Smagalla | ) www.wsj.com   time to read: 1 min
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/neogen-says-iran-sanctions-probe-concluded-without-fine-f66d7f25
Persons: Dow Jones Locations: iran
U.S. Broadens Sanctions Against Belarus
  + stars: | 2023-08-09 | by ( David Smagalla | ) www.wsj.com   time to read: 1 min
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/u-s-broadens-sanctions-against-belarus-94a177d1
Persons: Dow Jones, 94a177d1 Locations: belarus
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/chinese-hong-kong-iranian-firms-sanctioned-for-allegedly-aiding-iran-missile-program-5e667e49
Persons: Dow Jones Locations: kong, iranian, iran
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber Agreement and by copyright law. For non-personal use or to order multiple copies, please contact Dow Jones Reprints at 1-800-843-0008 or visit www.djreprints.com. https://www.wsj.com/articles/fewer-u-s-companies-applied-to-export-sensitive-technology-to-china-last-year-e57b48f4
Persons: Dow Jones, e57b48f4
Export controls are are administered by the Commerce Department’s Bureau of Industry and Security. The U.S. Commerce Department is cracking down on companies that discover potential export-control violations but choose not to disclose them to the government. Export controls restrict where U.S. companies can sell technologies with both commercial and military uses. The rules aim to prevent adversaries such as China, Russia and Iran from boosting their capabilities with advanced Western technology. They are administered by the Commerce Department’s Bureau of Industry and Security, which can bring civil penalties against companies that allow such “dual use” items to fall into the wrong hands.
U.S. Sanctions Russia’s Rosbank, Subsidiaries of VTB
  + stars: | 2022-12-15 | by ( David Smagalla | ) www.wsj.com   time to read: +3 min
The U.S. government has sanctioned Russian lender Rosbank and has expanded sanctions against VTB, one of the country’s largest banks, in a move to further limit the Russian government’s efforts to fund its war in Ukraine. The Treasury Department’s Office of Foreign Assets Control on Thursday announced sanctions against 17 subsidiaries of VTB, building on sanctions placed on the parent company in February, after Russia invaded Ukraine. The Treasury cited the importance of Rosbank to the Russian government, given that the lender is considered a “systemically important credit institution” in the country. The U.S. sanctions follow similar sanctions of Rosbank by the U.K. and Canada earlier this year. Nornickel wasn’t included in the State Department’s sanctions package.
Lisa Osofsky, director of the U.K.’s Serious Fraud Office, will leave her job in August 2023 after completing her five-year tenure with the white-collar crime prosecuting agency, according to a person with knowledge of the SFO’s plans. The U.K. attorney general’s office will start its search for her successor immediately, the person said in an email, adding that Ms. Osofsky will remain in her job for a short period after her tenure ends if needed. Newsletter Sign-up WSJ | Risk and Compliance Journal Our Morning Risk Report features insights and news on governance, risk and compliance. PREVIEW The leadership of the SFO by Ms. Osofsky, a former U.S. prosecutor, has been marked by scrutiny over its handling of a criminal bribery probe into oil-services consulting firm Unaoil Group. More recently, her team scored a victory in a case against Glencore PLC.
Catching Sanctions Evaders Getting More Complex
  + stars: | 2022-10-20 | by ( David Smagalla | ) www.wsj.com   time to read: +4 min
Some players looking to bypass Russia sanctions are taking pages from the playbook of Iran and North Korea sanctions evaders, such as the use of front companies to transact in the country. Newsletter Sign-up WSJ | Risk and Compliance Journal Our Morning Risk Report features insights and news on governance, risk and compliance. Isaias Lima, a managing director at financial services business the Bancorp Inc., said attempts by individuals and entities to help Russia evade sanctions are a concern. “The expectation is that if you are receiving the data, if you have possession of IP addresses, you have to screen those IP addresses and understand whether or not those transactions are originating from sanctioned countries,” he added. OFAC has relied more and more on the use of IP addresses as a sanctions enforcement tool, said Orisia Gammell, SAP SE’s chief legal counsel for export control.
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