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Securities Nonprofits Administrative Agency

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.

Three Key Takeaways from the Nu Skin FCPA Settlement for a Corrupt Charitable Donation

by Michael Volkov on

In a rare enforcement action, the SEC settled an FCPA enforcement action for $766,000 for a charitable donation of $154,000 to improperly influence a high-ranking Chiese Communist party official to prevent a provincial agency...more

Regulatory Developments: Proposed Order to Exempt Certain Non-Financial Energy Derivative Transactions That Affect the Delivery of...

by White & Case LLP on

On August 17, 2012, the Commodity Futures Trading Commission (CFTC) unanimously approved a Proposed Order to exempt certain non-financial energy derivative transactions between not-for-profit electric utilities from many of...more

SEC Enters Into Deferred Prosecution Agreement with Investment Fund

This week the Securities and Exchange Commission entered into Deferred Prosecution Agreement (DPA) with the Amish Helping Fund (the Fund), an Ohio non-profit corporation. This is only the second DPA that the SEC has reached...more

GAO Reports on the Feasibility of SRO for Private Fund Advisers

On July 11, the U.S. Government Accountability Office (GAO) released a report on the feasibility of forming a self-regulatory organization (SRO) to provide primary oversight of private fund advisers. The report was part of a...more

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