By Robert Herz2016-08-16T10:45:00
Robert Herz reviews the SEC’s recent accounting and enforcement releases, which reveal familiar patterns in corruption, as well as a commitment by the SEC to commence enforcement actions on any accounting and reporting violations it finds.
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2026-03-26T18:01:00Z By Jaclyn Jaeger
The former U.S. chief compliance officer of London-based hedge fund Capula Investment Management, who alleged he was fired for escalating “significant regulatory compliance issues” to senior management, refiled his lawsuit in state court after his original complaint was dismissed in federal court on jurisdictional grounds.
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The ink was barely dry on the U.S. Department of Justice’s new corporate enforcement policy (CEP) when the agency announced it would not prosecute Balt SAS for alleged bribery violations.
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The Netherlands Public Prosecution Office has fined a company linked to a U.S.-sanctioned Israeli businessman €25.8 million ($29.9 million) for bribing officials in the Congo. The case began in 2018 and relates to bribes paid in 2010-2011, demonstrating the slow and complex process often involved in such investigations.
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