Month: June 2018

Societe Generale S.A. and Legg Mason, Inc. agreed to resolve FCPA charges tied to bribing Gaddafi-Era Libyan Officials. Society Generale also settled charges stemming from its manipulation of LIBOR. The FCPA resolutions suggest the overall impact of cooperation. Although both …

Societe Generale, Legg Mason Resolve DOJ FCPA Charges Read More »

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Since at least the issuance of the report by the Commission’s Enforcement Division last November, the emphasis has been on retail investors and cyber. The “number of cases filed” focus of broken windows, which for years generated increasing numbers of …

SEC Sanctions 13 Private Fund Advisers For Filing Failures Read More »

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