by Doug Cornelius
Can brokers set up blogs? What about the comments that people stanchion to their blogs? Can brokers give fiscal opinion on chat forums? What if a go-between sets up a forum where all their misleading advertising gets magically erased whenever a regulator visits the placement? Steadfast, when you dream up of all the bad things that could meet with, you may be overjoyed this manufacture is regulated (of run those who got swindled hunger the enforcement would be more in operation).
FINRA Counselling on Venereal Media podcast (mp3) from Compliance Week
Anne Richardson of Indication was accounted for right at ACI’s FCPA Bootcamp in Houston last week and provides this communication on a practicable new situation in anti-bribery enforcement: “In the bull session’s gap panel on January 26, 2010, Stacey Destiny, Older Examination Attorney in the Deception Division, explained how the current DOJ/FBI cheat in force involving 22 executives from military and law enforcement mat companies demonstrates several up to date FCPA enforcement trends: (i) the heart on individuals, (ii) the use of household law enforcement tactics, (iii) the moment on determination-inclusive investigations, and (iv) greater cosmopolitan collaboration among enforcement authorities.
SEC Enforcement in 2009: A Year of Changes, with More This Year by Eduardo Gallardo, Gibson, Dunn & Crutcher LLP in The Harvard Law Principles Forum on Corporate Governance and Pecuniary Proclamation
In this look over of enforcement in 2009, we bring into focus on the informative enforcement developments of the impaired half of the year, as well as VIP cases and noteworthy trends revealed by annual enforcement statistics, both those disclosed by the SEC, as well as those that conclusion from our own breakdown. We also look forwards to the historic developments to preclude this year.
CFTC: Billy Ray and Winthrop Were Not Insider Traders by Bruce Carton in Compliance Week ’s Enforcement Conduct.
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