Month: June 2015

IAP Worldwide Services Inc., a Virginia based facilities management firm, entered into a non-prosecution agreement with the Department of Justice and agreed to pay a $7.1 million penalty to resolve FCPA charges. A vice president of the firm pleaded guilty …

Firm Settles FCPA Claim With Non-Prosecution Agreement, VP Pleads Guilty Read More »

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SEC Commissioner Daniel Gallagher published a statement explaining his dissent in two recent enforcement actions in which the Chief Compliance Officer of an investment adviser was charged, noting that the trend in such actions is toward strict liability. “Statement on …

SEC Commissioner Gallagher: Guidance is Needed For IA CCOs Read More »

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