Dallas Kaplan

Dallas Kaplan

Morgan Lewis

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Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2013 Year in Review

Table of Contents: Executive Summary; U.S. Securities and Exchange Commission; and Financial Industry Regulatory Authority. Executive Summary - This Outline highlights key U.S. Securities and Exchange...more

2/19/2014 - Broker-Dealer Enforcement Actions FINRA Investment Adviser SEC

Canadian Government Announces Proposed Amendments to Anticorruption Law

Amendments aim to improve enforcement of Canadian foreign corruption law by expanding jurisdiction, creating a books and records offense, eliminating the facilitation payments exception, redefining "business" and enforcement...more

2/11/2013 - Anti-Corruption Books & Records Bribery CFPOA Corruption Facilitation Payments Griffiths Energy International Jurisdiction

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