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Broker-Dealer › Anti-Corruption

Katten Muchin Rosenman LLP

Bridging the Week - March 2019 #2

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Unexpectedly, the Commodity Futures Trading Commission announced a new initiative to encourage non-registrants to self-report foreign corrupt practices, which it claimed might also constitute violations of laws and rules it...more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

Four SEC Commissioners addressed the annual SEC Speaks Conference, reviewing recent agency initiatives and tracing potential paths for the future. The SEC also brought another FCPA action, a misappropriation case and an...more

The Volkov Law Group

The FCPA Person Of The Year – The Prosecutor

The Volkov Law Group on

To continue a “tradition” on Corruption Crime and Compliance, I like to end the year with recognition of the “person of the year,” referring to the institution which has had the most impact in the enforcement and compliance...more

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