Year: 2023

The Commission filed a series of new cases largely, but not exclusively, in its traditional areas. They included, offering frauds, books and records and a breach of duty claims. An FCPA case was also filed along with an unregistered broker/trading …

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One of the hallmarks of Enforcement in recent months has been the reach of the program. While the agency continues to bring cases in traditional areas such as offering frauds and insider trading, in recent periods it has also focused …