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FCPA Enforcement Alert – A Sweep May Be Imminent In Your Industry

by Editors on June 13, 2013

FCPA enforcement may be coming to your industry – is your company ready?

A recent case brought by the SEC and prosecutors in the Southern District of New York could be a wake-up call for Wall Street, specifically for U.S. broker-dealers with international business. Some glaring red flags included rapid “round-trip trades” that left two portfolios unchanged while netting the broker more than $10 million in mark-ups

[Read: Long-Predicted FCPA Sweep May Be Imminent at Today's General Counsel]

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