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Searching Content by John Goselin from Duane Morris LLP ordered by Published Date Descending.
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SEC Targets Investment Adviser Community
The Enforcement Division of the Securities and Exchange Commission and its Office of Compliance Inspections and Examinations are focusing their examination and disciplinary efforts on the investment adviser community.
United States
13 Nov 2013
2
Unprecedented FCPA Wake-Up Call For U.S. Broker-Dealers And Foreign Banks: Has The Perfect FCPA Storm Finally Arrived For U.S. Financial Markets?
On May 7, 2013, the U.S. Attorney's Office for the Southern District of New York unsealed extraordinary criminal charges against two registered representatives of a U.S. broker-dealer and a high-level Venezuelan government official for engaging in a "Massive International Bribery Scheme".
United States
22 May 2013
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