John Goselin

John Goselin

Duane Morris LLP

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SEC Targets Investment Adviser Community

The Enforcement Division of the Securities and Exchange Commission (SEC) and its Office of Compliance Inspections and Examinations (OCIE) are focusing their examination and disciplinary efforts on the investment adviser...more

11/13/2013 - Chief Compliance Officers Compliance Corporate Counsel Enforcement Investment Adviser Investment Advisers Act of 1940 OCIE SEC

Unprecedented FCPA Wake-Up Call for U.S. Broker-Dealers and Foreign Banks: Has the Perfect FCPA Storm Finally Arrived for U.S....

On May 7, 2013, the U.S. Attorney's Office for the Southern District of New York (SDNY) unsealed extraordinary criminal charges against two registered representatives of a U.S. broker-dealer and a high-level Venezuelan...more

5/14/2013 - Bribery Broker-Dealer Compliance FCPA Foreign Banks Fraud SEC

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