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Searching Content indexed under Compliance by Ropes & Gray LLP's Securities & Enforcement Practice Group ordered by Published Date Descending.
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Concerns About Pay-To-Play Violations Amplify As 2020 Giving Ramps Up
As the 2020 Democratic presidential primary election field develops and new candidates join the race, more and more individuals are donating to their presidential candidates of choice.
United States
15 May 2019
2
Chinese Securities Regulator Announces Plans to Produce Documents in Ongoing "Big Four" Accounting Firm SEC Enforcement Action
According to a public statement issued by the China Securities Regulatory Commission ("CSRC") on July 9, 2013, China’s securities regulator is preparing to hand over the audit documents of a U.S.-listed Chinese company to the U.S. Securities and Exchange Commission ("SEC") and the Public Company Accounting Oversight Board ("PCAOB").
United States
21 Jul 2013
3
SEC Settles Cases Alleging Compliance Failures At Private Equity Firms
On March 11, the SEC announced two matters of significant importance to the private equity industry and to private fund sponsors generally.
United States
14 Mar 2013
4
Legal And Compliance Officers Left In Doubt About Their Personal Liability
On October 19, 2009, the SEC instituted an administrative proceeding against Theodore Urban, the former general counsel of a broker-dealer, alleging that he had "failed to supervise" a registered representative of the firm.
United States
21 Feb 2012
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