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David Smyth

David Smyth

Brooks Pierce


Latest Posts › Books & Records

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SEC Staff Seeking Hard Drives, Etc. (but without authority)

Last month brought us this story from Reuters, in which we learned that the SEC “has become more aggressive in seeking full hard drives from the companies and individuals it investigates, startling defense lawyers who...more

2/12/2013 - Books & Records Investigations Release of Information SEC Securities Exchange Act

SEC Charges Allianz with FCPA Violations

On December 17th, the SEC brought a settled administrative FCPA action against Allianz SE, a German insurance company with a subsidiary in Indonesia. The order does not allege violations of the FCPA’s antibribery provisions,...more

1/2/2013 - Allianz Books & Records FCPA SEC Subsidiaries Voluntary Disclosure Whistleblowers

SEC’s Asset Management Unit Focuses on Compliance Failures, Vol. 2

As we discussed last month, the SEC’s Asset Management Unit has developed a likeness for not just big, headline-grabbing cases, but relatively small compliance-based cases that are designed to prevent minor problems from...more

12/19/2012 - Asset Management Unit Books & Records Compliance Investment Adviser Registration SEC

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