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The Global Reach of the U.S. Foreign Corrupt Practices Act

USA - May 25 2017 The U.S. Foreign Corrupt Practices Act (FCPA) remains one of the most important legal and compliance risks for companies engaged in international...


Colorado Investment Advisers and Broker-Dealers May Soon Face New Cybersecurity Requirements

USA - April 13 2017 Recently proposed additions to the Colorado Securities Act would require Colorado investment advisers (IAs) and broker-dealers (BDs) to establish and...


Deal Disclosures Trigger SEC Enforcement Attention

USA - February 20 2017 The SEC recently announced two separate enforcement actions involving corporate disclosures made during unrelated battles for corporate control. This...


SEC Targets Severance Agreements That Impede Whistleblowers

USA - February 7 2017 The U.S. Securities and Exchange Commission (SEC) is cracking down on severance agreements that prohibit former employees from contacting regulators...

Mark B. Wiletsky.


More SEC Whistleblower Enforcement Activity

USA - January 19 2017 The U.S. Securities and Exchange Commission (SEC)’s recent announcement of yet another whistleblower enforcement matter signals that it regards its...