Richard L. Cassin Publisher and Editor

Andy Spalding Senior Editor

Jessica Tillipman Senior Editor

Harry Cassin Managing Editor

Elizabeth K. Spahn Editor Emeritus

Cody Worthington Contributing Editor

Julie DiMauro Contributing Editor

Thomas Fox Contributing Editor

Marc Alain Bohn Contributing Editor

Bill Waite Contributing Editor

Shruti J. Shah Contributing Editor

Russell A. Stamets Contributing Editor

Richard Bistrong Contributing Editor 

Eric Carlson Contributing Editor

Bill Steinman Contributing Editor

Aarti Maharaj Contributing Editor

FCPA Blog Daily News

Entries in sSecurities and Exchange Commission (4)


Company promises investors 2x payback if there's an FCPA investigation

An investment vehicle for a technology acquisition company made a disclosure to its investors Monday: If we're investigated for bribery, you can redeem shares for 200 percent of what you bought them for. 

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SEC's Norm Champ talks compliance

Norm Champ, the director of the SEC's division of investment management, was in New York City Thursday. He spoke to the Practising Law Institute's annual hedge fund management seminar.

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Disclosure can be too much of a good thing

From SEC Commissioner Daniel M. Gallagher's remarks at the 67th National Conference of the Society of Corporate Secretaries & Governance Professionals, Seattle, Washington on July 11, 2013:

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SEC’s New Admission Policy: What it Means for FCPA Cases

In 2012, the SEC announced that it would no longer enter into “neither admit nor deny” settlements with companies or individuals who had admitted relevant facts in parallel DOJ dispositions. Since then, the SEC has made good on that promise by requiring such factual admissions in resolving FCPA cases, but only to the extent covered by the DOJ pleadings -- implicitly leaving other allegations under the usual neither admit nor deny approach.

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