Some quick hits on stories that interest me, but did not make it to a full post: SEC Posts XBRL Compliance Guide from The Filing Cabinet by Melissa Klein Aguilar The staff of the Securities and Exchange Commission has posted a “small entity compliance guide” on its rules that require companies to submit financial statements … Read more »
Tag: Melissa Klein Aguilar
Bits and Pieces on Compliance
Here are a few stories and items that caught my eye this week, but I have not had time to build-out to a full post: The FCPA Enforcement Report of the First Quarter of 2009 from The FCPA Blog We count seven Foreign Corrupt Practices Act enforcement actions since the start of the year, including … Read more »
Short Bites
Here are a few stories and items that caught my eye, but I have not had time to build-out to a full post: Reminder to Review Insider Trading Compliance by Melissa Klein Aguilar for Compliance Week The SEC settled an administrative proceeding this month involving Merrill Lynch based on the firm’s failure to have adequate … Read more »
Kozeny Decision Limits Defense to FCPA
Melissa Klein Aguilar wrote a peice on Compliance Week about the decision in U.S. v. Kozeny decision that limits the local law defense under the Foreign Corrupt Practices Act: FCPA Decision Narrows Local-Law Defense. The Kozeny decision makes clear that if the payment itself is illegal, the local-law defense can’t be used even if the … Read more »