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FCPA Blog Daily News

Entries in SEC (48)


How to get countries to enforce foreign anti-bribery and corruption laws

In a recent speech, the Chairman of the SEC argued that other countries’ failure to enforce foreign anti-bribery and corruption laws may put U.S. companies at a competitive disadvantage to foreign firms. Against the background of aggressive enforcement of the FCPA, Chairman Clayton remarked that “other countries may be incentivized to play, and I believe some are in fact playing, strategies that take advantage of our laudable efforts.”

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Why we applaud the CFTC's anti-corruption enforcement efforts

It is no secret that the global commodities trading sector is rife with corruption risks. We at Global Witness have been investigating this for years, and have seen enforcement efforts fall short all too often. So we are pleased to see the chief U.S. commodities regulator, the Commodities and Futures Trading Commission (CFTC), start paying more attention to foreign corrupt practices.

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SEC acts to restore compliance at ratings agencies

The Big Three credit rating agencies -- Standard & Poor's, Moody's, and Fitch Group -- control about 95% of the market. They played a pivotal role in causing the 2008 financial meltdown. Rules adopted by the SEC Wednesday are intended to bring integrity back to the ratings process.

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Ex-CalPERS chief pleads guilty to fraud and bribery

The former head of the nation's biggest pension fund pleaded guilty in federal court in San Francisco to taking bribes and helping an associate collect millions in a fraudulent investment scheme.

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EY lobbying violated auditor independence rules, SEC says

Photo by Julie DiMauroAccounting giant Ernst & Young will pay $4 million to settle civil charges that it violated auditor independence rules after one of its units lobbied congressional staffers on behalf of audit clients, the Securities and Exchange Commission said Monday.

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Resource alert for SEC's Cybersecurity Initiative

The SEC's Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert in April with additional information about its Cybersecurity Initiative. 

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Target, others face SEC scrutiny over cyberattacks

The U.S. Securities and Exchange Commission has opened investigations of multiple companies in recent months examining whether they properly handled and disclosed a growing number of cyberattacks.

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Regulators are hiring experts, and working together around the globe

The SEC increased its headcount by 22 percent and spending by 62 percent since 2006. The increases are part of a global trend as agencies worldwide coordinate their scrutiny over regulated entities.

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Interview with Christopher Ehrman, Director of the CFTC Whistleblower Office

As readers of the FCPA Blog know, the Dodd-Frank Act in 2010 created whistleblower bounty programs in both the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC).

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SEC turns 80 -- shows little signs of slowing down

June 6 is the U.S. Securities and Exchange Commission's 80th birthday. It's a good reason to revisit the agency's role in regulating the world's biggest securities market and the varying interpretations of its mission.

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Federal judge expands meaning of 'whistleblower' beyond other ruling

A federal district court ruled in May that whistleblowers don't have to report to the SEC to receive protection against retaliation by their employers.

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Two SEC whistleblowers share $875,000 award

The SEC said Tuesday it awarded two whistleblowers more than $875,000 for their tips that helped the agency bring an enforcement action.

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