SEC Enters Into First Deferred Prosecution Agreement with an Individual for FCPA Violation By Steve Quinlivan on 02/18/2016 … Continue Reading SEC Enters Into First Deferred Prosecution Agreement with an Individual for FCPA Violation
MSRB Publishes Compliance Advisory for Municipal Advisors By Steve Quinlivan on 11/13/2015 … Continue Reading MSRB Publishes Compliance Advisory for Municipal Advisors
“Red Flags” of Market Manipulation and Effective Compliance Programs By Steve Quinlivan on 11/13/2013 … Continue Reading “Red Flags” of Market Manipulation and Effective Compliance Programs
