Month: November 2015

Self-reporting and cooperation were key topics for the SEC and the DOJ in recent remarks at an FCPA conference. SEC Enforcement Director Andrew Ceresney, and Assistant Attorney General Leslie Caldwell both addressed American Conference Institutes’ 32nd FCPA Conference. Both stressed …

The SEC and DOJ Discuss Self-Reporting – Cooperation Read More »

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The SEC filed a settled action involving a registered investment adviser that made false statements in marketing materials about a strategy utilized by a sub-adviser. The adviser failed to evaluate statements in the materials and ignored red flags. In the …

Adviser Settles False Performance Claims With SEC Read More »

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