Society of Corporate Compliance and Ethics6500 Barrie Road, Suite 250, Minneapolis, MN 55435-2358, United States

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ScalendarSociety of Corporate Compliance and Ethics2018Our wall calendar is packed with dates from major corporate scandals. Use it to remind people about the importance of compliant and ethical behavior.

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Utilities & Energy Compliance & Ethics ConferenceFebruary 4–7 • Washington, DC

European Compliance & Ethics InstituteMarch 25–28 • Frankfurt, Germany

Higher Education Compliance ConferenceJune 3–6 • Austin, TX

Internal Investigations Compliance ConferenceJune 7–8 • Orlando, FL

Data Governance ConferenceJune 25–26 | London, UK

Board Audit Committee Compliance ConferenceSeptember 24–25 • Scottsdale, AZ

Compliance & Ethics InstituteOctober 21–24 • Las Vegas, NV

NEW

SCCE Web Conferences Explore hot topics for compliance & ethics professionals with instant and up‑to‑date education from the convenience of your office. SCCE announces new conferences regularly, and prior sessions are available for purchase. Visit corporatecompliance.org/webconferences to learn more.

Basic Compliance & Ethics AcademiesFebruary 5–8 • San Francisco, CAMarch 5–8 • New York, NYApril 9–12 • Chicago, ILJune 11–14 • Scottsdale, AZAugust 6–9 • Washington, DCSeptember 10–13 • Las Vegas, NVOctober 1–4 • Dallas, TXNovember 12–15 • San Diego, CADecember 10–13 • Orlando, FL

INTERNATIONALJanuary 7–10 • Dubai, UAEApril 23–26 • Amsterdam, NetherlandsJuly 9–12 • SingaporeAugust 20–23 • São Paulo, Brazil September 24–27 • Madrid, SpainNovember 26–29 • Rio de Janeiro, Brazil

Regional Compliance & Ethics Conferences January 26 • Southern CaliforniaMarch 2 • Minneapolis, MNMarch 9 • New York, NYMarch 23 • Boston, MAApril 13 • Scottsdale, AZApril 27 • Tampa, FLMay 4 • Chicago, ILMay 18 • San Francisco, CAJune 8 • Atlanta, GAJune 21– 22 • Anchorage, AKAugust 17 • Columbus, OHSeptember 21 • Washington, DCSeptember 28 • Dallas, TXNovember 16 • Seattle, WADecember 7 • Philadelphia, PA

INTERNATIONALAugust 24 • São Paulo, BrazilOctober 4 • Sarajevo, Bosnia

NEW

NEW

NEW

2018 SCCE EventsLearn more & register at corporatecompliance.org/events

If you think compliance is expensive—

try non-compliance.– Former U.S. Deputy

Attorney General Paul McNulty

Regional ConferenceOrange County, CA

NEW

Basic Compliance & Ethics AcademyDubai, UAE CCEP‑I Exam

January 2018SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

31 1 2 3 4 5 6

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14 15 16 17 18 19 20

21 22 23 24 25 26 27

28 29 30 31 1 2 3

New Year’s Day Epiphany

Martin Luther King Jr Day

Tu B’Shevat begins at sundown

HCCA OFFICE CLOSED

HCCA OFFICE CLOSED

2013 Transocean Ltd reaches $1.4 billion DOJ settlement over Gulf oil spill

2010 Former University of Louisville dean pleads guilty to fraud2014 Honda fined a record $70M for failure to report accidents, including fatal ones

2017 Mondelez reaches $13M FCPA settlement with SEC

2017 Rolls Royce agrees to $809M settlement with US and UK authorities

2017 Norway sentences former Yara International lawyer to 7 years in foreign bribery case2017 McKesson agrees to $150M suspicious drug orders settlement

2017 Deutsche Bank AG reaches $7.2B mortgage meltdown settlement

2017 Western Union reaches $586M settlement over failure to prevent fraud and money laundering

2017 Two energy executives plead guilty in Venezuela FCPA-related case

2017 VW agrees to $4.3B Dieselgate settlement with US and pleads guilty; six execs indicted

2017 Zimmer Biomet agrees to pay $30M for FCPA-related DPA failure

2017 Moody’s agrees to $864M mortgage-related bonds settlement

2009 Satyam CEO resigns and admits inflated financial results2013 Banks agree to $18.9B in settlements to resolve federal allegations of mortgage wrongdoing2014 JPMorgan agrees to $1.7B Madoff-related settlement

2007 New York Times reports that Tyco’s Kozlowski and Swartz both sold more than $100M in Tyco stock

2014 S&P Fined $80M and suspended from rating heart of commercial mortgage bonds market

2015 TracFone agrees to $40M settlement over misleading customers

2017 Deutsche Bank agrees to $425M “mirror trading” settlement

2017 VW agrees to minimum $1.2B settlement with owners of larger diesel engine vehicles2017 Disney agrees to $100M settlement in hiring collusion case

2007 Broadcom announces $2.4 billion restatement of results

Be sure to put your feet in the right place, then stand firm.

– Abraham Lincoln

Basic Compliance & Ethics AcademySan Francisco, CA CCEP Exam

Utilities & Energy Compliance & Ethics ConferenceWashington, DC CCEP Exam

February 2018SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

28 29 30 31 1 2 3

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18 19 20 21 22 23 24

25 26 27 28 1 2 3

Groundhog Day

Mardi GrasValentine’s DayAsh Wednesday Chinese New Year

Presidents’ Day

Purim begins at sundown

2013 Royal Bank of Scotland reaches $612M settlement with UK and US governments for interest rate manipulation

2004 Jeff Skilling arrested by FBI 2009 KBR pleads guilty to bribery charges, agrees to $402M fine2016 Morgan Stanley reaches $3.2B mortgage meltdown settlement

2014 Bridgestone agrees to plead guilty, pay $425M fine in price fixing scheme 2012 Japanese police arrest seven in Olympus

scandal2011 Former Indian telecom minister arrested amidst allegations of involvement in 2G spectrum scandal

2016 VimpelCom agrees to $795M corruption settlement

2012 Former Fiesta Bowl chief pleads guilty in scheme to funnel political contributions2017 DOJ issues new guidance on corporate compliance programs

2014 Morgan Stanley and SEC agree in principle to $275M settlement of mortgage cases

2015 Morgan Stanley reaches $2.6B mortgage settlement

2016 Wells Fargo announces $1.2B FHA home mortgage settlement

2016 Julius Baer Group reaches $547M settlement over offshore accounts

2016 Goldman Sachs announces $5.1B mortgage meltdown settlement2017 Judge gives preliminary okay to VW 3.0 liter diesel settlement

2014 Two former Siemens executives fined $1.46M in bribery case2015 Petrobras CEO and 5 others resign in wake of bribery scandal

Compliance is not “The department of no.”Compliance is “The department of know.”

– Roy Snell

Regional ConferenceNew York, NY

Regional ConferenceBoston, MA

Regional ConferenceMinneapolis, MN

Basic Compliance & Ethics AcademyNew York, NY CCEP Exam

European Compliance & Ethics InstituteFrankfurt, Germany CCEP‑I Exam

March 2018SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

25 26 27 28 1 2 3

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Holi

International Women’s Day

Daylight Saving Time begins St Patrick’s Day

Palm Sunday Good Friday Passover begins at sundown

2004 Former Worldcom CFO Scott Sullivan pleads guilty to several crimes

2004 Martha Stewart convicted in ImClone scandal2010 Former chairman of McKesson sentenced for securities fraud

2017 ZTE agrees to plead guilty and pay $892M in sanctions case

2017 Volkswagen pleads guilty on three counts in Dieselgate scandal

2016 Brazilian businessman sentenced to 19 years in Petrobras scandal

2015 Commerzbank reaches $1.45B settlement over AML, sanctions and other violations

2017 Two former Penn State administrators plead guilty in sex scandal 

2014 BP Debarment stemming from Deepwater Horizon spill ends

2005 Worldcom’s Bernard Ebbers found guilty

2013 Two affiliates of SAC Capital agree to $615M settlement over insider trading charges

2015 Schulumberger unit fined $232.7M, pleads guilty to Iran and Sudan sanctions violations

2014 Toyota reaches $1.2B sudden acceleration-related criminal settlement

2014 Credit Suisse reaches $885M settlement over loans sold to Freddie Mac and Fannie Mae

2015 Alstom kickbacks net former Bechtel exec 42 month sentence

2017 Wells Fargo reaches $110M class action settlement in account-opening scandal

2017 Texas aviation exec gets 18 months in FCPA case

2016 Qualcomm settles FCPA case over hiring of relatives of Chinese government officials

Doing the right thing doesn’t automatically bring success.

But compromising ethics almost always leads to failure.

– Vivek Wadhwa

Basic Compliance & Ethics AcademyChicago, IL CCEP Exam

Basic Compliance & Ethics AcademyAmsterdam, Netherlands CCEP‑I Exam

Regional ConferenceTampa, FL

NEW

Regional ConferenceScottsdale, AZ

Last day to register at the early bird rate for SCCE’s 2018 Higher Education Compliance Conference

April 2018SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

1 2 3 4 5 6 7

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29 30 1 2 3 4 5

April Fool’s DayEaster Sunday

Isra and Mi’raj begins at sundown

Earth Day

2011 Johnson & Johnson agrees to $77 million global FCPA settlement2014 Bank of America agrees to nearly $800M in fines and restitution over credit card marketing tactics

2014 HP reaches $108M settlement over foreign bribery allegations.  Russia subsidiary pleads guilty

2016 Former FIFA VP pleads guilty to four counts in bribery scandal

2014 Judge accepts SAC Capital settlement, including guilty plea and $1.8B penalty2017 DOJ reduces US portion of Odebrecht settlement to $93M

2013 Bank of America reaches $500M settlement with investors over Countrywide debt 2010 Deepwater Horizon oil rig explodes

2012 New York Times reports that Walmart allegedly paid bribes in Mexico2016 VW $1B deal with diesel car owners announced

2015 Kolon Industries pleads guilty to trying to steal DuPont Kevlar trade secrets, penalized $360M

2012 DOJ publicly declines to prosecute Morgan Stanley in FCPA case, citing effectiveness of company compliance program 2007 Siemens confirms SEC investigation

2009 Madoff Investment Securities LLC is auctioned off to the highest bidder2017 Six former Olympus execs ordered to pay $529M in long-running scandal

2017 FIFA audit & compliance committee member pleads guilty to accepting bribes

2016 Former Massey CEO sentenced to one year in jail for role in deadly coal mine explosion

2016 Former Finmeccanica CEO sentenced to 4.5 years in jail in corruption case

2013 NewsCorp directors agree to $139M settlement with investors over phone hacking scandal

2016 VW posts $18.2B write down and $4.6B operating loss in diesel scandal

It takes 20 years to build a reputation and

5 minutes to ruin it. – Warren Buffet

Regional ConferenceSan Francisco, CA

Regional ConferenceChicago, IL

May 2018SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

29 30 1 2 3 4 5

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27 28 29 30 31 1 2

Cinco de Mayo

Mother’s Day Ramadan begins at sundownArmed Forces Day

Shavuot begins at sundown

Pentecost

Memorial Day

HCCA OFFICE CLOSED

2013 Morgan Stanley and Goldman Sachs begin making $247M in payments in settlement over foreclosure abuse allegations

2015 DaVita settles whistleblower suit for $495M

2015 Express Scripts unit Accredo agrees to pay $60M over alleged kickback scheme2015 BNP Paribas formally sentenced, fines and forfeitures total over $9 billion

2006 UnitedHealth announces it may need to restate as much as $286M in earnings 2011 Raj Rajaratnam of Galleon Group found guilty on 14 counts2017 Judge gives final approval to $1.22B VW 3.0 liter engine settlement

2014 Avon announces $135M FCPA settlement

2011 Lindsey Manufacturing becomes first corporation convicted under the FCPA

2017 Bumble Bee pleads guilty to price fixing, agrees to $25M criminal fine

2014 Credit Suisse pleads guilty, agrees to $2.6B fine over helping US citizens avoid taxes

2014 U.S. government fines GM a record $35M for failing to disclose ignition switch problem more quickly

2017 Facebook receives $122M fine from European regulators for misleading takeover info

2015 Four banks agree to plead guilty and pay $5B for rigging currency marketing

2017 Citigroup agrees to $97M money-laundering settlement 2017 US sues Fiat Chrysler over emissions

2006 Kenneth Lay and Jeff Skilling found guilty on a combined 25 counts

2015 TEVA Pharmaceuticals agrees to $1.2 billion antitrust settlement 2013 Total agrees to $398M bribery charges

settlement2017 Brazil meatpacker agrees to 25-year, $3.2B bribery settlement

The time is always right to do what is right.

– Martin Luther King Jr.

Regional ConferenceAnchorage, AK

Regional ConferenceAtlanta, GA

Internal Investigations Compliance ConferenceOrlando, FL

Data Governance ConferenceLondon, UK

Higher Education Compliance ConferenceAustin, TX CCEP Exam

Basic Compliance & Ethics AcademyScottsdale, AZ CCEP Exam

Last day to register at the early bird rate for SCCE’s 2018 Compliance & Ethics Institute

June 2018SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

27 28 29 30 31 1 2

3 4 5 6 7 8 9

10 11 12 13 14 15 16

17 18 19 20 21 22 23

24 25 26 27 28 29 30

Laylat al-Qadr begins at sundownFlag Day

Eid al-Fitr begins at sundown

Father’s Day Solstice

2002 Dennis Kozlowski resigns from Tyco

2002 Dennis Kozlowski charged with avoiding $1 million in sales taxes2003 Martha Stewart indicted2014 GSK agrees to $105M settlement over promotion of drugs

2002 ImClone’s Sam Waksal arrested and charged with insider trading

2012 Allen Stanford sentenced to 110 years in jail in $7B fraud case

2005 Dennis Kozlowski and Mark Swartz convicted2015 AT&T hit with $100M fine over “unlimited” data plans

2010 BP agrees to set up $20B oil spill fund2014 SunTrust $968M mortgage settlement announced

2013 United Technologies found liable for $473M in damages in Air Force engine case

2002 Worldcom announces need to restate financial results2002 Adelphia files Chapter 11

2015 DaVita agrees to $450M False Claims Act Settlement

2002 Worldcom shares trade at $.21. Previous high was over $64

2012 Barclays settle with DOJ for $453M in Libor scandal

2009 Bernard Madoff is sentenced to 150 years in prison, the maximum punishment for his crimes

2014 BNP Paribas agrees to plead guilty and pay $8.8B

2009 Technip SA agrees to pay $338M after allegations of bribery in Nigeria2016 VW reaches $14.7 billion settlement in diesel scandal

2014 GM releases 315-page report on ignition switch recalls

NEW

Being good is good business.

– Anita Roddick

Basic Compliance & Ethics AcademySingapore CCEP‑I Exam

July 2018SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

1 2 3 4 5 6 7

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15 16 17 18 19 20 21

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29 30 31 1 2 3 4

Independence Day

Tisha B’Av begins at sundown

HCCA OFFICE CLOSED 2010 DOJ extradites Italian to U.S. for alleged involvement in FCPA violation 2012 Glaxo Smith Kline pleads guilty and pays $3B to resolve fraud and safety data allegations

2016 Three ex-Barclays traders convicted in LIBOR scandal

2004 Kenneth Lay indicted2015 Norwegian court sentences four to prison for paying foreign bribes

2016 Two former Louis Berger executives sentenced in bribery scheme

2004 Adelphia’s John Rigas convicted2011 News of the World publishes last issue and closes down in wake of phone hacking scandal

2014 Former CEO of CalPERS pleads guilty to committing bribery and fraud

2005 Worldcom’s Bernard Ebbers sentenced to 25 years in prison

2014 Citigroup agrees to $7B subprime mortgages settlement

2014 Pilot Flying J reaches $92M settlement over fuel rebate skimming

2002 Worldcom files for Chapter 11 bankruptcy protection2014 Johns Hopkins agrees to $190M settlement over gynecologist who secretly recorded images of patients2015 Toshiba CEO resigns amid $1.2B accounting scandal2015 Citibank ordered to pay customers $700M, fined $70M for credit card add-ons marketing2013 Toyota reaches $1.6B sudden acceleration

class action settlement2015 Two Louis Berger execs plead guilty to FCPA violations. Company pays $17.1M

2009 Control Components, Inc. pleads guilty to an FCPA violation2014 Former Alba CEO jailed for 16 months in UK for conspiracy to corrupt 2009 SAC Capital indicted

2013 Halliburton agrees to plead guilty to destroying documents in Gulf spill case2014 Former Bizjet CEO pleads guilty to conspiracy to bribe government officials

2013 UBS reaches $885M mortgage bond settlement2015 Fiat Chrysler reaches record $105M settlement for badly handled recalls

2013 JPMorgan Chase reaches $410M settlement over energy prices2013 DOJ announces $490.9M settlement with Wyeth over off-label marketing of Rapamune2014 Bank of America ordered to pay $1.27B over “Hustle” fraud

2014 Smith & Wesson reaches $2 million FCPA settlement with the SEC2015 Mead Johnson reaches $12M FCPA books and records settlement

2009 Avery Dennison Corp. settles with the SEC for improper payments to Chinese through foreign subsidiary

Science brings SOCIETY to

the next level; ETHICS keeps

us there.– Dr. Hal Simeroth

Basic Compliance & Ethics AcademyWashington, DC CCEP Exam

Basic Compliance & Ethics AcademySão Paulo, Brazil CCEP‑I Exam

Regional ConferenceColumbus, OH

NEW

Regional ConferenceSão Paulo, Brazil

August 2018SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

29 30 31 1 2 3 4

5 6 7 8 9 10 11

12 13 14 15 16 17 18

19 20 21 22 23 24 25

26 27 28 29 30 31 1Eid-al-Adha begins at sundown

2001 Jeff Skilling announces his resignation from Enron

2016 Barclay’s reaches $100M multi-state LIBOR settlement

2014 Goldman Sachs reaches $1.2B mortgage settlement

2015 Libor Scandal conspirator sentenced by UK court to 14 years

2014 Three former Innospec executives sentenced to jail in the UK for roles in bribery scheme

2013 Philip Falcone admits wrongdoing and agrees to $18M settlement with SEC2014 NGK Sparkplug agrees to plead guilty and pay $52.1M for price fixing/bid rigging2014 Consent decree issued for $300M for failure of StandardCharter to remediate AML deficiencies

2014 PWC regulatory advisory unit receives two year NYC suspension

2015 Former SAP International exec pleads guilty to FCPA conspiracy charge

2014 Bank of America reaches $17 billion mortgage settlement

2013 Merrill Lynch agrees to $160M settlement in racial bias case

2016 VW announces $1.2B Dieselgate agreement with U.S. dealers

2015 Citigroup reaches $180M settlement over hedge funds

2015 Three plead guilty to bribery-related charges involving Russian nuclear energy

Quality means doing it right when no one is looking.

– Henry Ford

Basic Compliance & Ethics AcademyLas Vegas, NV CCEP Exam

Basic Compliance & Ethics AcademyMadrid, Spain CCEP‑I Exam

Board Audit Committee Compliance ConferenceScottsdale, AZ

Regional ConferenceWashington, DC

Regional ConferenceDallas, TX

September 2018SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

26 27 28 29 30 31 1

2 3 4 5 6 7 8

9 10 11 12 13 14 15

16 17 18 19 20 21 22

23 24 25 26 27 28 29

30 1 2 3 4 5 6

Labor Day

Rosh Hashanah begins at sundown Muharram begins at sundown

Yom Kippur begins at sundown

Sukkot begins at sundown

HCCA OFFICE CLOSED 2006 HP discloses to SEC it reviewed private phone records of board members

2009 Pfizer announces settlement; terms specify Compliance Officer should not report to General Counsel2014 Court finds BP grossly negligent in Gulf spill2014 Pacific Gas & Electric penalized $1.4 billion for pipeline blast2014 Halliburton agrees to $1.1B Gulf Oil spill settlement

2014 NCAA lifts post-season ban of Penn State imposed after Sandusky scandal2014 Home Depot confirms data breach has occurred2016 Cisco announces FCPA declination from DOJ and SEC2016 Wells Fargo reaches $185M settlement over illegal account openings

2003 Enron treasurer pleads guilty 2002 Tyco’s Kozlowski and Swartz charged2009 Two Hollywood executives convicted for FCPA violations

2005 Tyco’s Kozlowski and Swartz sentenced

2013 $920M settlement announced in JPMorgan Chase London Whale case2014 Three executives convicted in peanut plant salmonella case2014 China fines GSK $489M for bribery. Orders executive deported

2002 Five execs at Adelphia indicted2015 Former peanut company executive sentenced to 28 years in contamination case

2001 Ken Lay tells employees Enron shares are an “incredible bargain”

2016 SEC announces $140M payment from Weatherford (tax accounting)

2016 Och-Ziff Capital Management Group settles FCPA charges for $413M

2002 Former Worldcom controller pleads guilty2013 Nine auto parts suppliers agree to $740M settlement over price-fixing charges

2015 GM reaches $900M settlement over ignition switches

2015 Former Siemens Argentina CFO pleads guilty to conspiracy to violate FCPA

Character is much easier kept than recovered.

– Thomas Paine

Basic Compliance & Ethics AcademyDallas, TX CCEP Exam

Compliance & Ethics InstituteLas Vegas, NV CCEP & CCEP‑I Exam

Regional ConferenceSarajevo, Bosnia

GET CERTIFIED AT THE COMPLIANCE & ETHICS INSTITUTEThe deadline to submit exam applications is October 15

October 2018SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

30 1 2 3 4 5 6

7 8 9 10 11 12 13

14 15 16 17 18 19 20

21 22 23 24 25 26 27

28 29 30 31 1 2 3

Halloween

2009 Galleon Group Founder Raj Rajaratnam and five others arrested for alleged insider trading

2015 Bank of American reaches $335M mortgage settlement

2016 Wells Fargo reaches $50M settlement over defaulted homeowners fees

2014 Novartis reveals employee pleads guilty in Poland bribery case

2016 Tenet agrees to $513M kickback allegations settlement

2015 Allergan unit agrees to $125M settlement and plead guilty to healthcare fraud

2001 Andrew Fastow leaves Enron2016 Embraer reaches $205M FCPA settlement

2016 Judge approves $15B VW Dieselgate settlement

2016 Jury awards $7.3M to Penn State whistleblower

2010 Glaxo Smith Kline pleads guilty and agrees to $750M settlement

2011 Olympus admits to $1.7B accounting fraud

2013 Penn State reached $59.7M settlement with 26 sexual abuse victims

2014 RBS avoids $140M fine by blowing whistle on Swiss Franc bank cartel

2015 Barclays and Wachovia agreed to $378M mortgage loans settlement

2013 Bank of America found liable for Countrywide Fraud

Act as if what you do makes a difference.

It does.– William James

Regional ConferenceSeattle, WA

Basic Compliance & Ethics AcademySan Diego, CA CCEP Exam

Basic Compliance & Ethics AcademyRio de Janeiro, Brazil CCEP‑I Exam

November 2018SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

28 29 30 31 1 2 3

4 5 6 7 8 9 10

11 12 13 14 15 16 17

18 19 20 21 22 23 24

25 26 27 28 29 30 1

All Saints Day

Daylight Saving Time ends Diwali

Veterans Day

Mawlid al-Nabi begins at sundown Thanksgiving Day

HCCA OFFICE CLOSED HCCA OFFICE CLOSED

HCCA OFFICE CLOSED

Corporate Compliance & Ethics Week November 4–10

2014 Bank of Tokyo Mitsubishi hit with $315M penalty for sanctions violations report whitewash

2013 JP Morgan agrees to $13B settlement with government over mortgages

2015 Novartis reaches $390M civil fraud settlements over kickback scheme

2014 Five banks agree to $3.3B FOREX rate manipulation settlement with US and UK regulators

2012 JPMorgan Chase and Credit Suisse agree to $417M settlement over subprime loans

2012 Walmart discloses an expanded internal investigation into bribery accusations in Mexico to Brazil, China, and India2012 BP agrees to record $4.5 billion in penalties in criminal settlement of Gulf oil spill

2012 UBS AG fined $47.6M by UK FSA in rogue trading scandal2013 Weatherford agrees to $252M FCPA settlement. Three subsidiaries plead guilty. Company also agrees to $100M export controls settlement

2012 US government temporarily bans BP from new federal contracts over “lack of business integrity”

2015 UK Serious Fraud Office announces first ever Deferred Prosecution Agreement2001 SEC investigation of Enron begins

2014 Bio-Rad agrees to $55M FCPA settlement2014 Hyundai and Kia reach $100M settlement over reported MPGs, also lose $200M in credits2015 Japan’s Takata fined $70M over airbags

2006 Police raid Siemens headquarters over bribery allegations2015 Alstom sentenced to $772M fine over bribery charges2016 JPMorganChase reaches $264M FCPA settlement

Do what is right, not what is easy.

– Anonymous

Regional ConferencePhiladelphia, PA

Basic Compliance & Ethics AcademyOrlando, FL CCEP Exam

December 2018SUNDAY MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY SATURDAY

25 26 27 28 29 30 1

2 3 4 5 6 7 8

9 10 11 12 13 14 15

16 17 18 19 20 21 22

23 24 25 26 27 28 29

30 31 1 2 3 4 5

Advent beginsChanukah begins at sundown

Solstice

Christmas Eve Christmas Day Kwanzaa begins

New Year’s Eve

HCCA OFFICE CLOSED

2001 Enron files for bankruptcy2013 Bank of America and FreddieMac agree to $404M settlement over Countrywide mortgage loans2015 Judge orders Anadarko to pay $159.5M over Deepwater Horizon disaster

2013 EU imposes $2.3B in fines on banks for rate rigging

2014 Supreme Group pleads guilty, agrees to pay $389M in fines and damages for overcharging Pentagon

2016 Feds reach $112M settlement with marketing firm in FIFA scandal

2016 Princess Cruises fined $40M for dumping oily water off UK and cover-up

2008 Bernard Madoff is arrested on counts of securities fraud, but is released on $10M bail2012 HSBC announces $1.92B settlement in money laundering case

2014 Avon subsidiary pleads guilty to FCPA violation, $135M settlement reached

2012 UBS subsidiary pleads guilty of fraud in case with $1.5B in fines2013 Target data breach first reported

2012 Eli Lilly agrees to pay $29.4 million to resolve allegations of possible corrupt business practices by overseas partners

2016 Odebrecht and Braskem plead guilty and agree to $3.5+B settlement in Petrobras scandal2016 DOJ announces second executive pleads guilty in tuna price fixing case2016 Teva reaches $519M FCPA settlement with DOJ and SEC

2014 Bank Leumi reaches $400M settlement with US over tax charges2014 Alstrom agrees to $772M FCPA settlement2014 SFO secures first conviction under UK Bribery Act

2016 General Cable agrees to $82M FCPA and accounting settlement

2013 Wells Fargo agrees to $541M settlement with Fannie Mae over defective home loans

2015 LifeLock agrees to $100M contempt settlement over failure to safeguard customer data2016 Braskem announces $957M settlement in Brazil’s Operation Carwash2016 DeVry reaches $100M FTC settlement over accusations of misleading students

2015 Former SAP exec sentenced to 22 months in prison for Panama bribery

2016 Deutsche Bank agrees to $7.2B and Credit Suisse $5.2B mortgage settlement

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