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FCPA Enforcement Against Broker-Dealers: A New Headache For CCOs

In 2010, Wall Street shuddered when it was disclosed that the SEC had launched an inquiry into financial institutions, investment banks and private equity firms for potential FCPA violations involving interactions with...more

Broker-Dealers Cross Into FCPA Territory

The recent prosecution of two registered broker-dealers and a Venezuelan government official for FCPA violations underscores a point I often make – nothing good ever happens when the government has a reason to look around in...more

FCPA Broker-Dealer Case Highlights Compliance Risks for Financial Institutions

Last week saw a significant Foreign Corrupt Practices Act (FCPA) enforcement action against employees of a US broker-dealer, who are alleged to have bribed a Venezuelan government official to direct brokerage to the firm. The...more

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