Month: February 2016

The SEC filed another settled FCPA proceeding in which cooperation substantially mitigated the sanctions. Specifically, a monetary penalty was not imposed on the firm in view of its cooperation, although the company did not self-report. In the Matter of SAP …

Cooperation Yields No Penalty in SEC FCPA Settlement Read More »

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The SEC and the New York Attorney General announced settlements with Barclays Capital Inc. and Credit Suisse Securities (USA) LLC centered on the operation of dark pool trading venues. In the Matter of Barclays Capital Inc., Adm. Proc. File No. …

SEC, NYAG Sanction Three Dark Pools Read More »

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