The SEC's 5 most Common Compliance Deficiencies

To assist and prepare SEC registered investment advisers for exams, The SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert listing five of the most frequently identified compliance topics in deficiency letters following an examination.

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FCPA Fines in 2016 - Summary

 

We delved into the official enforcement actions of the FCPA (Foreign Corrupt Practices Act) from the SEC for 2016 and have been keeping a score sheet of all the fines by month. Now we present to you 7 facts from this long list of fines.

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