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Keywords: Foreign Corrupt Practices Act (FCPA)
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Journal Articles
Alice S. Fisher, Douglas K. Yatter, Douglas N. Greenburg, William R. Baker III, Benjamin A. Dozier, Robyn J. Greenberg
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2019) 20 (3): 32–38.
Published: 23 September 2019
... penalty will not apply.”12 US Commodity Futures Trading Commission (CFTC) CFTC Division of Enforcement US Securities and Exchange Commission (SEC) US Department of Justice (DOJ) Commodity Exchange Act (CEA) Foreign Corrupt Practices Act (FCPA) “Bribes […] to secure business...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2019) 20 (1): 27–30.
Published: 04 April 2019
...Jennifer Kennedy Park; Abena Mainoo Purpose To explain a recent enforcement action by the US Securities and Exchange Commission (SEC) highlighting risk factors for Foreign Corrupt Practices Act (FCPA) violations. Design/methodology/approach Summarizes the basis of the SEC’s enforcement action...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (1): 31–34.
Published: 08 May 2018
...James L. Sanders; Kyle Bahr; Calvin Chan; Charles Hewetson Purpose This paper explains how recent statements by the US Securities and Exchange Commission’s (SEC’s) leadership – including the new Chief of the SEC’s Foreign Corrupt Practices Act (FCPA) Unit – signal the American regulator’s intent...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (3): 34–37.
Published: 09 September 2013
... Commission (SEC) Compliance Foreign Corrupt Practices Act (FCPA) Early May 2013 saw a significant Foreign Corrupt Practices Act (FCPA) enforcement action against employees of a US broker-dealer, who were charged with bribing a Venezuelan government official to direct brokerage to the firm. The case...
