Practical Tips for Navigating SEC Comment Letters
Comment letters from the SEC can come out of the blue, require a lot of work involving executive leadership and ...
Tag: SEC
Certifying Third-Party FCPA Compliance Under New SEC/DOJ Requirements
How can I possibly certify that 100 percent of my third parties, including all customers and vendors, are 100 percent ...
Compliance Program Assessments and Moral Hazards
Jeff Kaplan and Rebecca Walker inaugurate what will be a regular column on compliance & ethics program assessments. Most of ...
Getting to the Bottom of Whistleblower Complaints
Whistleblower complaints are on the rise and may gain further traction from recent stories in the news, increasing the burden ...
Ericsson Agrees to Pay Over $1 Billion to Resolve FCPA Case
DOJ Office of Public Affairs (December 6, 2019) -- Telefonaktiebolaget LM Ericsson (Ericsson or the Company), a multinational telecommunications company headquartered ...
Inconsistencies in FCPA Enforcement: Key Considerations for a Potential FCPA Voluntary Disclosure
In multiple recent cases, it seems the DOJ has softened its approach on charging self-disclosing companies for FCPA crimes involving ...
Regulatory Roundup: 10 Recent FINRA and SEC Violations and Penalties
Over the past year, the SEC and FINRA have been hard at work enforcing communications supervision compliance regulations throughout the ...
Barclays Agrees to Pay $6.3M FCPA Settlement
Michael Volkov details the recent FCPA settlement against Barclays for improper hiring practices stretching back several years. One key factor ...
What’s Next for Compliance Enforcement?
The 2005 docudrama Syriana captured the moment just before FCPA enforcement reached the great heights we’ve come to expect today. ...
Cybersecurity Responsibility Expands to Corporate Boards
The SEC has squarely placed the onus on corporate board members to take on greater cybersecurity oversight of the companies ...
Deutsche Bank Settles FCPA Case with SEC for $16 Million for Hiring Relatives of Public Officials
Deutsche Bank’s hiring practices in the Asia-Pacific region have exposed the institution to corruption risk, and SEC has taken note. ...
Whitepapers: Impact of Revenue Recognition Standards on Public Companies
Public companies based in the U.S. are choosing the less onerous (but riskier) of two possible methods for complying with ...
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- Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien Wong February 21, 2020SEC Obtains Judgments Against Market Manipulators
- Navellier & Associates, Inc., and Louis Navellier February 20, 2020SEC Obtains Partial Summary Judgment Against Investment Adviser and Principal for False and Misleading Marketing of Investment Strategies
- Emmanuel Kouyoumdjian (a/k/a "Manny K") February 20, 2020SEC Obtains Final Judgment Against Unregistered Broker
