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Editors

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

SEC annual report touts FCPA enforcement

The U.S. Securities and Exchange Commission (SEC) published its 2013 Agency Financial Report this week to detail its results for the President, Congress and public.

By the end of the 2013 fiscal year, the SEC had obtained total penalties and disgorgements of $3.4 billion, an increase from the $3.1 billion awarded the year before, it said in the report.… Continue Reading

Final count for 2012 declinations

In the prior post, I explained why a broad definition of ‘declinations’ is needed to overcome a lack transparency by the DOJ and SEC when tracking agency decisions conclude FCPA investigations without pursuing enforcement actions.… Continue Reading

Allianz in $12.4 million settlement with SEC

The Securities and Exchange Commission said Monday it has resolved an FCPA enforcement action against Germany-based insurance and asset management company Allianz SE.

The company paid the SEC a total of $12.4 million to settle an out-of-court administrative proceeding.… Continue Reading