The Commission filed two settled offering fraud actions centered in part around an entity engaged in the purchase and sale of thoroughbred horses called Raintree Racing. A second involved an offering of interests in a real estate investment firm known …
SEC Files Two Offering Fraud Actions Tied To A Horse Farm Read More »
Cooperation credit and conducting internal investigations were key themes in recent remarks by Assistant Attorney General Leslie Caldwell at New York University Law School’s Program on Corporate Compliance and Enforcement (April 17 2015)(here). These have long been critical issues for …
Internal Investigations and Cooperation Credit in FCPA Investigations Read More »