Altering compliance records prior to their production for an examination and inadequate procedures to control the flow of nonpublic information became the predicate for sanctions against a broker dealer, an investment adviser and the chief compliance officer of both. In …

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“We are in a new era of FCPA enforcement” Assistant AG Lanny Breuer declared in remarks at a conference on Tuesday. The Department of Justice is stepping up FCPA enforcement, which is good for business, despite the contention of some …

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