News & Analysis as of September 23, 2024

Enforcement Actions

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The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +

The Justice Insiders Podcast: Meet the Securities and Exchange (and Human Resources) Commission

Top 10 International Anti-Corruption Developments for November 2023

Morrison & Foerster LLP on 12/19/2023

Designed for busy in-house counsel, compliance professionals, and anti-corruption lawyers, this newsletter summarizes some of the most important international anti-corruption law and enforcement developments from the past...more

SEC fines gaming company $4 million as successor to a company charged with FCPA violations

Orrick, Herrington & Sutcliffe LLP on 3/9/2023

On March 6, the SEC announced that an Ireland-based global gaming and sports betting company, as successor-in-interest to a company it acquired in 2020 (the “acquired company”), agreed to pay a $4 million civil money penalty...more

The Foreign Corrupt Practices Act: SEC Enforcement And Lessons In Corporate Compliance

Amundsen Davis LLC on 2/25/2020

The Foreign Corrupt Practices Act of 1977 (“FCPA”) amended the Securities Exchange Act of 1934 (“Exchange Act”) and is enforced by the Securities and Exchange Commission (“SEC”). The purpose of the FCPA is to bolster the...more

2019 Bad Guys in Energy

Gray Reed on 1/16/2020

To our bad guys, 2019 was a year flush with hope and opportunity; it ended with recidivism, more misery from Venezuela, a charlatan, an Okie who pulled a multi-million dollar fast-one on Chesapeake and, as in years past, a...more

Reflections on the Hitachi FCPA Enforcement Action

Thomas Fox - Compliance Evangelist on 9/30/2015

Earlier this week, the Securities and Exchange Commission (SEC) announced resolution of a Foreign Corrupt Practices Act (FCPA) enforcement action involving the Hitachi Ltd (Hitachi). There were several interesting aspects to...more

What Would Dr. Seuss Say about an Allowance?

Thomas Fox - Compliance Evangelist on 7/29/2015

Earlier this month we had the release of a second book by Harper Lee, “Go Set a Watchman”, which was miraculously discovered having been written some 50+ years ago. This week, there was another release from a (now deceased)...more

This Week In Securities Litigation

Dorsey & Whitney LLP on 12/19/2014

The Commission brought two FCPA cases this week, one of which was in conjunction with the DOJ. Both centered on the payments for gifts and travel in China. In addition, the SEC filed three manipulation cases, an action...more

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