Tag: internal controls

When the Foreign Corrupt Practices Act was passed, a key portion of the statute centered on the books and records and internal control provisions written by the Commission. While the bribery provisions only apply to foreign officials, the books and …

SEC, United Settle Internal Controls Case Read More »

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In a week that began with a focus on the election and ended with the commemoration of veterans day, the SEC brought a series of actions including: one that centered on the sale of unregistered securities in the form of …

This Week In Securities Litigation (Week ending Nov. 11, 2016) Read More »

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