With one of the SEC’s five National Specialized Units focused specifically on the Foreign Corrupt Practices Act, the SEC is armed to enforce the FCPA. Recent FCPA cases serve as a critical reminder that the SEC is focused in this area. In this ComplianceCasts Minute, our consultants walk you through what the FCPA is, how some entities have violated it, how it may apply to investment advisers, and what your firm can do to avoid a violation.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- Highlights of 2018: Predictions for 2019
- Compliance Considerations for Dual Registrants
- Promoting and Inspiring Ethics and Integrity in a Bottom-Line Workplace
Recent ComplianceCast™ Minutes