Urofsky, Philip; Newcomb, Danforth - In: Journal of Investment Compliance 14 (2013) 3, pp. 34-37
Purpose – The purpose of this paper is to provide suggestions to the banking and finance sectors on managing FCPA risks in light of a May 2013 FCPA enforcement action against employees of a US broker-dealer. Design/methodology/approach – The paper provides details of the May 2013 enforcement...