Year: 2018

The Commission has filed a series of actions tied to investment advisers who have failed to disclose conflicts of interest. The conflicts typically focus on the investment advise being furnished to the client. The most recent case involving undisclosed conflicts …

SEC Charges Adviser, Officers With Undisclosed Conflicts Read More »

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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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