The UK Bribery Act: How It Matters for the Securities Industry

September-October 2011
Practical Compliance & Risk Management for the Securities Industry
Financial services firms with an eye on anti-corruption compliance cannot have ignored last year’s record-breaking fines, penalties, and disgorgements obtained by the U.S. Department of Justice (“DOJ”) and the U.S. Securities and Exchange Commission (“SEC”) in enforcement actions under the U.S. Foreign Corrupt Practices Act (“FCPA”).