Posts from September 2018.

Pay-to-play violations have the potential to affect a firm's reputation and typically in a "two-year timeout from providing compensatory advisory services directly to a government client." Contributions of any kind, which include campaign contributions to those seeking elected office,...

In looking at the recent enforcement action by the Securities and Exchange Commission ("SEC") against Create Your Fate, LLC, let's first consider these two recent publications by governing bodies concerning the use of testimonials contained in internet or social...

The Bank Secrecy Act (BSA) of 1970 requires U.S. financial institutions to cooperate with the U.S. government to report cases of suspected fraud, money laundering, and a range of other suspicious transactions not involving the outright misappropriation or misuse...

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