Well crafted compliance is a significant asset for any enterprise, helping create a positive culture throughout the firm. It is also the first line of defense, safeguarding the firm from liability or at least mitigating it by, for example, identifying …
Lack of Compliance Equals SEC Sanctions For Deutsche Bank Read More »
FCPA enforcement was a key priority this week. The Commission filed two settled actions. Once involved a recidivist in which the firm made admissions in resolving the matter with the DOJ. Those admissions were essentially adopted by the SEC in …
This Week In Securities Litigation (Week ending January 13, 2017) Read More »