Month: March 2019

The retail investor focus of the current SEC Enforcement Program was on full display as the Division announced the return of over $125 million to investors from advisers participating in the Share Class Selection Disclosure Initiative announced about one year …

Results from the SCSDI: $125M for Investors, No Penalty for 79 Advisers Read More »

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Last week the DOJ and SEC settled the third installment in a trilogy of cases arising from “an almost $1 billion bribery scheme that reached the highest echelons of the Uzbekistan government and was orchestrated by some of the largest …

Business in Uzbekistan: $1B in Bribes Ends With $2.5B in FCPA Penalties Read More »

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