2007 was the year of the record settlement. Vetco International and Baker Hughes both paid record fines to resolve FCPA cases. Indeed, Baker Hughes set two records, one for the largest combined DOJ/SEC FCPA settlement and a second for penalty …

The FCPA: The New SEC and DOJ Enforcement Priority – Part VI, Large Penalties Read More »

The SEC has reportedly been conducting inspections and taking surveys as part of its market surveillance efforts. U.K. regulators are taking a different approach, however: cold calls and new regulations requiring tape recordings and record keeping for electronic communications. The …

Market Monitoring and The War On Insider Trading: UK Style Read More »