Year: 2010

FCPA enforcement officials repeatedly emphasized the necessity for adequate compliance procedures and the value of voluntarily reporting and cooperation when a violation is discovered. The FCPA settlement of RAE Systems Inc. with the Department of Justice and the SEC illustrates …

DUE DILIGENCE, COOPERATION AND THE FCPA Read More »

DOJ announced “Operation Broken Trust” this week, a sweep focused on investment fund fraud. It is being conducted by the Justice Department along with the SEC, CFTC, IRS and others. A new report shows that the number of SEC settlements …

THIS WEEK IN SECURITIES LITIGATION (December 10, 2010) Read More »