‘Enforcement 40’ for 2020
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By Securities Docket on December 3, 2015, 2:38 pm
This week has seen a trio of significant “firsts” from the UK’s Serious Fraud Office, including its first-ever Deferred Prosecution Agreement and two cases brought under section 7 of the Bribery Act 2010. via Signs of Life for SFO, Enforcement of Bribery Act 2010 | Compliance Week.
By Securities Docket on December 3, 2015, 9:00 am
The Securities and Exchange Commission faces a “crisis of confidence” over its in-house court, a former top agency official on Wednesday told a congressional panel examining legislation to reform the tribunal. Joseph Grundfest, a former SEC commissioner who is now a law professor at Stanford University, said there were “fundamental issues of fairness” raised by […]