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FCPA (39)
Your search for FCPA returned 39 results.
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8/30/2018 | Content area: Investment Adviser
The other shoe has now dropped in connection with Legg Mason’s involvement in a scheme dating back to 2004 to bribe Libyan government officials to sec...
8/27/2018 | Content area: Investment Adviser
The Permal Employees, along with employees of Société Générale, also used coded language in furtherance of the scheme, including discussing when the L...
11/16/2017 | Content area: Investment Adviser
In the wake of the landmark Kokesh v. SEC decision, the Commission’s Enforcement division will redouble its efforts to bring cases as swiftly as possi...
11/09/2017 | Content area: Investment Adviser
While the ultimate impact of Kokesh on SEC enforcement as a whole – and FCPA enforcement specifically – remains to be seen, we have no choice but to r...
11/30/2016 | Content area: Investment Adviser | Broker-Dealer
For many years, the SEC has cooperated extensively with our international partners and these relationships and cooperative arrangements have given us ...
11/17/2016 | Content area: Investment Adviser
This matter concerns violations of the anti-bribery, books and records, and internal controls provisions of the Foreign Corrupt Practices Act (“FCPA”)...
9/29/2016 | Content area: Investment Adviser
Bribes were paid to corruptly influence foreign government officials in order to obtain or retain business for Och-Ziff and its business partners. Och...
11/17/2015 | Content area: Investment Adviser | Broker-Dealer
Self-reporting also is a valuable tool for parties who want to maximize the benefits available for cooperation. As the cases I just mentioned make cl...
8/18/2015 | Content area: Investment Adviser
This matter concerns violations of the anti-bribery and internal accounting controls provisions of the Foreign Corrupt Practices Act by BNY Mellon. Th...
5/20/2015 | Content area: Investment Adviser
BHPB recognized that inviting government officials to the Olympics created a heightened risk of violating anti-corruption laws and the company’s own G...
11/25/2014 | Content area: Investment Adviser
An official of a sovereign wealth fund flies into town to check out your firm. If you treat the visitor to a nice dinner, must you worry that you’ve j...
11/19/2014 | Content area: Investment Adviser | Broker-Dealer
Now it is important to recognize that FCPA cases against individuals can present some unique challenges for us and we simply are unable to bring cases...
10/16/2014 | Content area: Investment Adviser | Broker-Dealer
The Securities and Exchange Commission — The Next 80 Years: The 15th Annual A.A. Sommer Jr. Lecture on Corporate, Securities and Financial Law
9/29/2014 | Content area: Investment Adviser
SEC Charges China Valves Technology, Inc. and Three Senior Officers with Fraud
8/20/2014 | Content area: Investment Adviser
Dodd-Frank’s anti-retaliation whistleblower provision doesn’t apply abroad, a court of appeals has ruled. This month, the 2nd U.S. Circuit Court of Ap...
12/24/2013 | Content area: Investment Adviser
U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 22900 / December 24, 2013 Securities and Exchange Commission v. Archer-Daniels-Midla...
8/12/2013 | Content area: Investment Adviser | Broker-Dealer
A recent federal appellate court decision might encourage whistleblowers who have information about potential law-breaking at their firms to take thei...
6/03/2013 | Content area: Investment Adviser | Broker-Dealer
Beware. The Justice Department and the SEC are on the lookout to see whether broker-dealers and their employees are complying with the Foreign Corrup...
5/29/2013 | Content area: Investment Adviser
4/16/2013 | Content area: Investment Adviser
U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 22672 / April 16, 2013 Litigation Release No. AAER-3454 / April 16, 2013 Securities...


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