The U.S. Department of Justice (DOJ), through Assistant Attorney General Kenneth A. Polite Jr., announced on Jan. 17, 2023, "the first significant changes" to its Corporate Enforcement Policy (CEP) since 2017. The revisions...more
1/23/2023
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Cooperation ,
Corporate Misconduct ,
Corruption ,
Criminal Investigations ,
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Declination ,
Department of Justice (DOJ) ,
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Federal Sentencing Guidelines ,
Policy Updates ,
Remediation ,
Self-Disclosure Requirements ,
Voluntary Disclosure ,
White Collar Crimes
The staff of the SEC's Division of Examinations (Exam) recently issued a Risk Alert that detailed certain rules registered investment advisers must comply with to prevent the misuse of material nonpublic information (MNPI),...more