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FCPA Compliance and Ethics Report-Episode 145-SEC Enforcement of the FCPA, Part II
On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert providing a summary of the staff’s observations from sweep exams of broker-dealers, investment advisers and funds...more
On July 21, 2015, a federal judge granted AXA Equitable Life Insurance Company’s motion to dismiss claims brought against it by insureds who alleged that AXA violated New York law by engaging in various “shadow insurance”...more