Year: 2016

Data security has long been a critical issue. Protecting confidential customer information is key for broker-dealers, investment advisers and other Wall Street participants. Cyber security is a related issue of at least equal importance. The Commission’s latest action involving Morgan …

SEC Sanctions BD for Compliance Issues Tied to Data Security Read More »

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The DOJ declined prosecution in two self-reported potential FCPA actions while the SEC entered into non-prosecution agreements with each issuer. One matter involved Akamai Technologies, Inc. while the other centered on Nortek, Inc. Akamal Technologies, Inc. provides cloud services for …

DOJ Declines Prosecution in Two FCPA Cases, SEC Executes NPAs Read More »

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