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Searching Content indexed under Compliance by William Alderman ordered by Published Date Descending.
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No Longer A Mirage: FCPA Compliance And Cooperation Has Its Benefits
On September 12, 2016, the SEC announced that it had reached a settlement with Jun Ping Zhang, a former executive of a Chinese subsidiary of Harris Corporation, regarding alleged violations of the FCPA.
United States
30 Sep 2016
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Another Round Of Favorable SEC Settlements, But Only For Underwriters That Self-Reported
On June 23, 2015, the SEC announced that it had reached settlement agreements with 36 municipal underwriting firms in its first round of settlements under this initiative.
United States
26 Oct 2015
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