FCPA

For some time, the IRS has held that civil penalties and fines assessed by the SEC would not be tax deductible to the entity sanctioned. ...

To help facilitate and strengthen regulatory reform, the SEC aims to be a thought leader in international discussions because of our extensive regulatory experience. ...

Statement at Open Meeting on a Concept Release on the Business and Financial Disclosure Required by Regulation S-K

And so what's really left in those major categories is to finish Title VII, the over-the-counter securities-based swap regulations. We've proposed all of those rules. ...

As I prepare to leave the Commission at the end of this month, I wanted to share some observations about how the Commission has evolved ...

This matter concerns violations of the anti-bribery and internal accounting controls provisions of the Foreign Corrupt Practices Act by BNY Mellon. The violations took place ...

BHPB recognized that inviting government officials to the Olympics created a heightened risk of violating anti-corruption laws and the company’s own Guide to Business Conduct, but the ...

An official of a sovereign wealth fund flies into town to check out your firm. If you treat the visitor to a nice dinner, must ...

An easy out for many compliance staff given the duty to train firm employees on gifts and entertainment rules is to adopt the lowest regulatory ...

The spectrum on staff compliance training at IAs spans the gamut, from no set approach to monthly meetings. You can take some ideas to expand ...