Month: March 2018

The Commission filed another settled FCPA internal controls actions. The case involved a Canadian mining firm that acquired subsidiaries in Mauritania and Ghana with little to no internal controls that received repeated warnings about those deficiencies but failed to take …

SEC Settles Another FCPA Internal Controls Action Read More »

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The Enforcement Division’s focus on retail investors is illustrated by a recent offering fraud case brought by the Commission. The key elements of that action were: a fund run by a person that worked in the financial industry, giving him …

SEC Enjoins Firm Trading Binary Options That Guaranteed No Losses Read More »

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