Year: 2016

Blue sheets are an important tool for the SEC. Named for the fact that the form at one time was printed on blue paper, the information request requires the immediate production of key information regarding a securities transaction by the …

SEC Requires Admissions To Settle Another Blue Sheet Case Read More »

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Well designed compliance systems coupled with solid internal controls can be instrumental in preventing violations of the FCPA. Despite best of efforts, there is no doubt that even a well-constructed compliance system can be circumvented. Johnson Controls, a global firm …

Compliance, Cooperation Mitigates FCPA Liability with DOJ-SEC Read More »

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