Monthly Archives: February 2016

Stanford Law rolls out ‘Foreign Corrupt Practices Act Clearinghouse’ | Compliance Week

Stanford Law School announced earlier this month that it has teamed up with law firm Sullivan & Cromwell to launch the new Foreign Corrupt Practices Act Clearinghouse. The FCPA Clearinghouse is a free, public resource that provides a comprehensive, searchable, and very useful database of enforcement actions and information related to the FCPA. via Stanford Law rolls out ‘Foreign Corrupt Practices Act…

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SEC director says assuming 10% of advisers are reviewed each year is wrong — Investment News

The SEC’s head of inspections cautioned an audience of compliance professionals not to misread the 10% annual examination rate for investment advisers. He said that doesn’t mean the Securities and Exchange Commission only reviews 10% of advisers every year. via SEC director says assuming 10% of advisers are reviewed each year is wrong — Investment News

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Vanguard Says Sending 71 Account E-Mails to Wrong Investor Was ‘Isolated Matter’ – TheStreet

Experts on Internet security say it’s a troubling error. “It certainly raises questions as to whether they are properly safeguarding customers’ information,” said John Reed Stark, a Maryland-based consultant who is former chief of the SEC’s Office of Internet Enforcement. “The SEC has made it clear that protecting customer information is a priority,” Stark said. “I would think this rises…

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Former Sarclad employees charged with bribery and corruption – Serious Fraud Office

Michael Sorby, former Director and Adrian Leek, former Sales Manager, of Sarclad Limited, appeared before Westminster Magistrates’ Court today, charged with bribery and corruption offences. Michael John Sorby, 72 and Adrian Firmin Leek, 39, of Sheffield, were both charged with one count of conspiracy to corrupt, contrary to section 1 Prevention of Corruption Act 1906 and one count of conspiracy…

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