Month: February 2012

ANTI-MONEY LAUNDERING COMPLIANCE ISSUES

Anti-money laundering has been a key compliance and at times enforcement issue for years. This is particularly true since the passage of the PATRIOT Act in 2001. David Blass, Chief Counsel, Division of Trading and Markets, recently provided insight on

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SEC RESOLVES ITS CLAIMS AGAINST TWO FORMER QWEST OFFICERS

The Commission concluded its litigation with two of the remaining defendants in its suit which centered on a financial fraud at Qwest Communications from early 1999 through 2002. The case gained notoriety because of the high profile insider trading conviction

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