Antitrust Enforcement and Compliance Programs
Anti-Corruption Due Diligence Practical Steps to Protect Your Company from Third Party Risks
FCPA Compliance Programs A Review of Best Practices
Creating an Integrated Due Diligence System - Screening to Audits
Third Party Due Diligence When is Enough, Enough?
An FCPA Review: A Look Back at 2013 and Trends for 2014
Building an Anti Corruption Compliance Program Practical Steps 2 18 14, 9 02 AM
How Can You Better Protect Yourself with the Escalating Trend of FCPA Enforcement?
Managing Your Anti Corruption Policies and Procedures
AML BSA and Sanctions Compliance Part II of II June 24, 2014
AML BSA and Sanctions Compliance I of II June 10 2014
FCPA Training: The Basics
FCPA Compliance and Ethics Report-Episode 64-Managing the Third Party Relationship Under the FCPA, Part II
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?
Welcome to the 2014 Mid-Year Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. Its purpose is to provide a periodic survey, apart from our team Executive Alerts, on matters we...more
Clearly signaling its intention to support whistleblowers who provide actionable evidence of wrong-doing, the SEC this week settled the first case brought under the authority granted by the Dodd-Frank Act enabling...more
On January 9, the SEC announced its examination priorities for 2014, which cover a wide range of issues at financial institutions, including investment advisers and investment companies, broker-dealers, clearing agencies,...more
Investment Advisers — Are Your “IA Reps” Registered as Required? Why You Should Care -
As we approach the end of the calendar year, it is a good time for investment advisers to check if all of its personnel who are...more
- No Rush to Advertise by Hedge Funds
- Updated Guidance From the SEC
- Results of Dodd-Frank Legislation on Investment Adviser Registration Numbers
In This Issue:
Regulatory Updates -
FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling.
Enforcement + Litigation -
Enforcement Division priorities target hedge...more
The Securities and Exchange Commission (SEC) recently has set its sights on registered entities and their officers and directors for overvaluing the entities’ assets....more
In This Issue:
- New SEC Registrants Under Dodd-Frank to Be Focus of SEC Examination Program
- FINRA Rule 5123 Revisited
- SEC Accuses...more
Bruce Karpati, Chief, SEC Enforcement Division’s Asset Management Unit, recently described enforcement priorities with respect to hedge funds. He noted the Asset Management Unit, comprised of 75 staff across 11 offices,...more
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