10.04.11
Before the Dodd-Frank Act, the SEC’s authority to impose monetary penalties in administrative cease and desist proceedings was available against only certain “regulated persons,” including broker-dealer and investment adviser entities and their associated individuals.
04.26.11
Your company is entering a new market overseas. You hire a local lawyer to help you navigate the steps necessary to obtain a license to conduct business in that country.
02.04.11
Recent years have seen a rise in the number of enforcement actions taken by the Department of Justice (DOJ) and the Securities Exchange Commission (SEC) under the Foreign Corrupt Practices Act (FCPA), as well as a notable expansion of the types of conduct covered by these prosecutions.
03.11.10