2020 – SEC ACTIONS

This Week In Securities Litigation (Week of April 20, 2020)

Posted on April 19, 2020 by T. Gorman Posted in SECActions

Regulators in this country and others, including the Commission, have announced accommodations in view of the current pandemic. At the same time, those regulators stress the need for timely disclosure and financial information. Despite the accommodations, and the fact that …

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Tagged with: audit failure, FCPA, Insider trading, offering fraud, SEC

SEC Charges Executive of U.K. Subsidiary with FCPA Violations

Posted on April 15, 2020 by T. Gorman Posted in SECActions

The Foreign Corrupt Practices Act centers on bribes being paid to foreign officials. As with any U.S. statute, there must be facts tying the wrongful conduct to the jurisdictional hooks in the statute. While the defendant in the Commission’s most …

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Tagged with: FCPA, SEC

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Year: 2020

This Week In Securities Litigation (Week of April 20, 2020)

SEC Charges Executive of U.K. Subsidiary with FCPA Violations