FCPA Compliance and Ethics Report-Episode 32-the FCPA Year in Review, Individual Enforcement Actions
Trends in FCPA Compliance and Enforcement for 2014
What Is Driving Stepped Up Government Health Care Enforcement? – Interview with Hope Foster, Member, Mintz Levin
SEC News - Five Year Enforcement Limitation, FCPA Charges for Foreign Nationals, More...
Should Wall Street Fear Mary Jo White?
- No Rush to Advertise by Hedge Funds
- Updated Guidance From the SEC
- Results of Dodd-Frank Legislation on Investment Adviser Registration Numbers
- Regulatory Updates:
CFTC Adopts “Substituted Compliance” Approach for Registered Investment Companies that are Commodity Pools; SEC’s Final Rules on General Solicitation and Bad Actor Disqualification for Investment...more
In This Issue:
- New SEC Registrants Under Dodd-Frank to Be Focus of SEC Examination Program
- FINRA Rule 5123 Revisited
- SEC Accuses...more
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