Latest Posts › SEC

Share:

New DOJ Policy Regarding Individual Accountability for Corporate Wrongdoing

On September 9, 2015, the U.S. Department of Justice announced a new policy regarding individual accountability for corporate misconduct. The policy, described in a memo authored by Deputy Attorney General Sally Yates,...more

SEC Issues Guidance on Conflict Minerals Rule

On May 30, 2013, the Securities and Exchange Commission issued guidance related to the requirement that issuers disclose the use of conflict minerals in their products, as mandated by the 2010 Dodd-Frank Wall Street Reform...more

Allianz To Pay $12.3M To Settle SEC’s Bribery Allegations

On December 17, 2012, the Securities and Exchange Commission ("SEC") announced that Allianz SE ("Allianz"), a German-based insurance and asset management company, had agreed to pay approximately $12.3 million to settle...more

The Dodd-Frank Whistleblower Program: An Analysis of the SEC’s Second Annual Report, Best Practices for Dealing with...

I. Introduction On November 15, 2012, the Securities and Exchange Commission ("SEC" or "the Commission") issued its Second Annual Report on the Dodd-Frank Whistleblower Program ("the Report"), covering the period...more

DOJ and SEC Issue FCPA Guidance

On November 14, 2012, the Department of Justice ("DOJ") and the Securities and Exchange Commission ("SEC") jointly issued their Resource Guide to the U.S. Foreign Corrupt Practices Act ("FCPA") (the "Guide")...more

11/20/2012  /  Compliance , DOJ , FCPA , FCPA Resource Guide , SEC
5 Results
/
View per page
Page: of 1

"My best business intelligence,
in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up using*

Already signed up? Log in here

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.