Harry Cassin
Publisher and Editor
Andy Spalding
Senior Editor
Jessica Tillipman
Senior Editor
Bill Steinman
Senior Editor
Richard L. Cassin
Editor at Large
Elizabeth K. Spahn
Editor Emeritus
Cody Worthington
Contributing Editor
Julie DiMauro
Contributing Editor
Thomas Fox
Contributing Editor
Marc Alain Bohn
Contributing Editor
Bill Waite
Contributing Editor
Shruti J. Shah
Contributing Editor
Russell A. Stamets
Contributing Editor
Richard Bistrong
Contributing Editor
Eric Carlson
Contributing Editor
[…] claimants or the defendant in the SEC enforcement action. Federal law requires the SEC to protect the identity of whistleblowers. The successful claimant initially gave the SEC a detailed analysis. But the information was provided “before enactment of the whistleblower award program and, therefore, could not serve as the basis for an award,” the […]
The Securities and Exchange Commission said Friday that seven individuals from a registered broker-dealer settled charges related to bribes paid to a former official of a Venezuelan state-owned bank.
The job of the UK‘s top financial regulator includes enforcing requirements to designate compliance officers with defined professional roles and duties.
[…] that the company will pay $32.3 million to resolve U.S. Foreign Corrupt Practices Act problems related to former operations in Bolivia, Ecuador and Nigeria. The company and a subsidiary will also enter into three-year deferred prosecution agreements with the U.S. Department of Justice. Willbros is headquartered in Panama City, Panama and has its administrative […]
A survey in Asia by Transparency International found that just over one in four people had paid a bribe to access public services during the prior year.
Yesterday I participated as a panelist at a roundtable on the “Increase in the Enforcement of the Foreign Bribery Statue in Israel,” part of the Globes Newspaper’s Capital Markets Conference.
A former Haitian phone company official at the center of a major Foreign Corrupt Practices Act prosecution pleaded guilty Friday to a money-laundering conspiracy. The Justice Department said Robert Antoine, 62, of Miami and Haiti, the director of international affairs for state-owned Telecommunications D’Haiti from May 2001 to April 2003, accepted bribes from three U.S. […]
[…] and the internal controls provisions. Israel-based Elbit and its subsidiary, Plaza Centers NV, paid millions of dollars to third-party offshore consultants and a sales agent “for services,” without knowing if the services were ever provided. The payments were in connection with a real estate development project in Romania and the sale of a large […]
[…] From his earliest days, however, Leissner’s behavior had raised eyebrows inside Goldman. At one point, he agreed for Goldman to underwrite a multi-billion-dollar rights issue in Malaysia without getting the okay from headquarters. Goldman even launched a probe into Leissner’s behavior after the banker started a relationship with the CFO of a company that […]
[…] to a $100,000 penalty, a five-year officer and director ban, and a five-year suspension from practicing or appearing before the SEC as an attorney. All three settled without admitting or denying the SEC’s allegations and findings. Beginning in 2004, Nissan’s board gave Ghosn the authority to set individual director and executive compensation levels, including […]
