Late last week, the Securities and Exchange Commission (SEC) announced its enforcement results for fiscal year 2015, reporting a record number of enforcement actions and the highest amount of fines collected by the SEC to...more
10/29/2015
/ Broker-Dealer ,
Credit Rating Agencies ,
Enforcement Actions ,
Enforcement Statistics ,
Foreign Corrupt Practices Act (FCPA) ,
High Frequency Trading ,
Mary Jo White ,
Municipal Bonds ,
Retaliation ,
Securities and Exchange Commission (SEC) ,
Underwriting ,
Whistleblower Protection Policies
News leaked late last week that Swiss banking giant UBS is again under DOJ investigation for aiding tax fraud by U.S. clients. In 2009, UBS pled guilty to a criminal tax conspiracy charge, and received a deferred prosecution...more