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SEA 1934 Rule 13(b)(2)(B)
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SEC hits John Deere with FCPA charges for subsidiary’s role in Thailand
The business revamped its anti-bribery internal controls and policies, and began offering a bimonthly compliance newsletter and compliance-centered podcast.
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SEC charges cable operator with stock buyback controls violations
SEC says the company could change the dollar amounts available to buy back stock and the timing of buybacks – after the plans took effect.
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Bribes, crypto fraud and unregistered brokers attract SEC charges
In this week’s roundup, we see a mix of charges, including disclosure failings within a donor data management software company.