Anyone who holds a large position in a securities-based swap should be aware of new rules proposed by the Securities and Exchange Commission (SEC). The proposed rules aim to prevent fraudulent, manipulative and deceptive activity with regard to securities-based swaps....
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Month: December 2021
New Podcast Episode of The FCPA Compliance Report: Kevin J. O’Brien Discusses the Elizabeth Holmes Trial
Kevin J. O’Brien takes a deep dive into the Elizabeth Holmes trial, critiquing both the prosecution and defense with The Voice of Compliance, Tom Fox. Listen to the Podcast
