Year: 2011

THIS WEEK IN SECURITIES LITIGATION (July 29, 2011)

The SEC entered into an agreement with the Capital Turkey Securities Regulator this week calling for mutual cooperation in a number of areas including enforcement. The Commission also continued implementing Dodd-Frank, issuing additional rules concerning large traders, asset backed securities

SEC SETTLES FCPA CASE WITH LIQUOR GIANT DIAGEO

The SEC concluded an FCPA investigation with Diageo, plc, in a settled administrative proceeding. In the Mater of Diageo plc, Adm. Proc. File No. 3-14490 (July 27, 2011). Diago is a leading producer and distributor of premium branded spirits, beer

Tagged with:
Top