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Keywords: Foreign Corrupt Practices Act (FCPA)
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Journal Articles
CFTC enters the market for anti-corruption enforcement
Available to PurchaseAlice 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
... Act (CEA) Foreign Corrupt Practices Act (FCPA) On March 6, 2019, the Division of Enforcement (Division) of the US Commodity Futures Trading Commission (CFTC or Commission) announced that it will work alongside the US Department of Justice (DOJ) and the US Securities and Exchange Commission...
Journal Articles
Sanofi settles FCPA charges with SEC for $25.2 million
Available to Purchase
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
US Securities and Exchange Commission’s announcement of chief of Foreign Corrupt Practices Act unit signals possible anti-bribery enforcement focus on non-United States issuers
Available to Purchase
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
FCPA broker-dealer case highlights compliance risks for financial institutions
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (3): 34–37.
Published: 09 September 2013
... at the firm, receiving approximately $4.4m in compensation in 2010 after being employed by DAP for only one full year. 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...
