News & Insights

Help
87 News Results

A U.S.-based global chemicals company settled SEC charges for bribery and recordkeeping and internal accounting controls failures in violation of the Foreign Corrupt Practices Act.

Five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers settled charges with the SEC and CFTC for recordkeeping violations after failing to preserve electronic business-communications made using their personal devices.