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FCPA Blog Daily News

Entries in Investment Advisors Act (5)


Brackett and Neale: Enforcement Innovations for the Post-Yates Environment

During a recent webinar sponsored by the Washington Legal Foundation, we explored the impacts intensive individual-focused criminal enforcement can have on an industry, using the recent history of criminal enforcement of food safety laws as a case study. 

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SEC penalizes political intelligence firm $375,000 for ignoring compliance officers

The Securities and Exchange Commission said a political intelligence firm admitted wrongdoing and agreed to pay a $375,000 penalty for compliance failures in acquiring and handling potential material non-public information.

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Barclays fined $15 million for post meltdown Lehman compliance lapses

The Securities and Exchange Commission charged Barclays Capital Inc. Tuesday with failing to maintain an adequate internal compliance system to make sure it didn't violate any federal securities laws after its wealth management business in the U.S. acquired the advisory business of Lehman Brothers in September 2008.

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In Wal-Mart case, feds can protect compliance officers. But will they?

The SEC’s new Chair, Mary Jo White, made headlines last week by letting compliance officers know how important their role is to their organizations and to the SEC.

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Shorter clock on SEC’s FCPA enforcement actions

Last week, in the case Gabelli v. SEC, the U.S. Supreme Court unanimously held that the Securities and Exchange Commission, when seeking a penalty or fine in connection with a civil enforcement action, must file the action within five years of the completion of the alleged fraud or wrongful conduct.

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