3/23/20: The Securities and Exchange Commission (SEC) has released an update on its response to COVID-19 “… and the related effects on our securities market.” One of SEC’s priorities: “… maintaining our enforcement and investor protection efforts, particularly with regard to the protection of our critical market systems and our most vulnerable investors.”
Compliance Communications Blog
11/3/2015: Tom Fox’s recent post on his FCPA Compliance and Ethics blog focused on the issue of “… training and testing the effectiveness of a best practices FCPA compliance program.” Employee training has always been an integral component of an effective compliance...
9/1/15: The US Securities and Exchange Commission recently settled charges with Citigroup Global Markets saying the company failed to adopt and apply procedures that would prevent and detect transactions signaling the potential misuse of material, nonpublic information. The company also failed to adopt...
9/1/15: The Securities and Exchange Commission isn’t fooling around with its enforcement of the FCPA. In the process, it’s also reminding compliance officers of the various ways they can run afoul of the law. Recently, the SEC announced a settlement with BNY Mellon to settle charges that it violated the FCPA by providing...