News & Analysis as of September 21, 2024

Sanctions › Mortgage-Backed Securities

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Corruption, Crime and Compliance - “The New FCPA”: Sanctions and Export Control Enforcement and Compliance
Giving Compliance Advice
Corruption, Crime, & Compliance - Five Steps to Enhance Your Sanctions Compliance Program
Corruption, Crime and Compliance - Deep Dive Into Wells Fargo’s $30 Million OFAC Settlement
FINCast Ep. 36 – Regulators’ Roundtable to Forecast 2023
Guidepost in Motion EP25: State of Compliance with Alixandra Smith Part 2
FCPA Compliance Report - Matt Silverman on Potential Sanctions Against Russia
Argentina: A Look at the Case of Lázaro Báez - Laundering the Proceeds of Corruption and Tax Fraud
Nota Bene Podcast Episode 131: U.S. Sanctions Against Russia: Valid or Ineffective Economic Policy? with Fatema Merchant and Mario Torrico
Compliance into the Weeds - SAP Trade Sanctions Enforcement Action
What to Expect from the Biden Administration
A Look Ahead at the Biden Administration’s Regulatory and Enforcement Priorities
Compliance Perspectives: The German Corporate Sanctions Act
Episode 153 -- The Mighty Amazon Falls to OFAC Enforcement Sword
Navigating an Increasingly Complex Sanctions Landscape: New Exposures for Corporations and Shipping
Episode 120: Interview of NAVEX Global Third-Party Risk Officials: Chris Bailey and Stephen Gooding
U.S. policy reversal allows suits in U.S. courts and visa denials, for “trafficking” in confiscated property in Cuba
Jones Day Presents: Considerations in Implementing Blockchain Technology
This Week in FCPA-Episode 80, The Last Jedi Edition
The Perils of Compliance with the Russia Sanctions Program

SEC Sanctions Hedge Fund Advisory Firm For Improper Valuations of Illiquid Securities

Proskauer - Corporate Defense and Disputes on 7/7/2015

Returning to an enforcement priority repeatedly articulated over the years, the SEC recently imposed sanctions on a registered investment advisory firm and two principals arising out of an alleged scheme to inflate the...more

SEC Settles with Adviser Over Discretionary Valuation Practices and Lack of Cross Trade Procedures

Goodwin on 11/29/2013

The SEC settled public administrative proceedings against a registered investment adviser (the “Adviser”) over (i) its exercise of discretion in valuing securities held by a privately offered fund the Advised managed (the...more

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Sanctions › Mortgage-Backed Securities

SEC Sanctions Hedge Fund Advisory Firm For Improper Valuations of Illiquid Securities

SEC Settles with Adviser Over Discretionary Valuation Practices and Lack of Cross Trade Procedures

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