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NSCP 2024: Off-channel communications the focus of discussions
NSCP conference participants discussed recordkeeping enforcement actions, policy recommendations, and predictions about future enforcement patterns.
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Moog must pay $1.7m to the SEC to settle FCPA case
The SEC’s order alleged that Moog violated the recordkeeping and internal accounting controls provisions of the FCPA.
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CFTC fines Piper Sandler for recordkeeping violations; commissioners dissent
The dissenters questioned whether the definition of “business records” has been stretched beyond usefulness.
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ASIC roundup: Prison for aiding and abetting, and Kraken found guilty of DDO failures
The Australian Securities & Investments Commission’s latest actions and news, August 12 – 23, 2024.
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XLoD London 2023: What the SEC means by proactive compliance
In this session, Lindsay Moilanen, Assistant Regional Director at the SEC, outlined the Commission’s current priorities.
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SEC charges global software firm SAP for FCPA violations
SAP SE agreed Wednesday to pay the DOJ and SEC around $222m in penalties to resolve FCPA offenses.
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ASIC roundup: A$670,500 penalty over ‘set and forget’ compliance culture
The Australian Securities & Investments Commission’s latest actions and news, December – December 4 – 15, 2023.
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ASIC roundup: Landmark victory on continuous disclosure, and banned auditors
The Australian Securities & Investments Commission’s latest actions and news, October 9 – 13, 2023.