MyComplianceOffice Blog

Last Wednesday saw the SEC issue its first disciplinary action against a crypto fund. A cease and desist order and a $200,000 fine was issued to Crypto Asset Management (CAM) and its founder Timothy Enneking. (source).

Legg Mason Inc will pay $34 million to the Securities and Exchange Commission (SEC) to resolve FCPA-related charges. 

Summer and 2018 are flying by! The DOJ has been busy with FCPA related enforcement and announcements. Catch up now with our Mid-year report. 

We're more than halfway through 2018, making now a good time to take a mid-year look at the SEC's Foreign Corrupt Practices Act (FCPA) corporate enforcement actions 

Here at MCO we keep a close eye on the activities of regulators. Read the highlights here; FINRA fines in Q2 2018 - 6 Findings.