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Pharmaceutical Executive
May 1, 2006
Cook & Witten |
Legal: The Kickback Effect Pharma tends not to treat relationships with foreign doctors as cautiously as it does those with US physicians. But watch out: Misconduct on the part of your international employees could get kicked back onto your plate.   |
BusinessWeek
July 8, 2010
Dexter Roberts |
The Higher Costs of Bribery in China The U.S. is policing the activities of big multinationals in China more aggressively, with China's own prosecutors sometimes following suit. |
National Defense
August 2010
Patrick & Renzulli |
Defense Contractors Increasingly Targeted in Corruption Investigations Companies and individuals are facing dramatically higher penalties and costs for failing to comply with anti-bribery laws around the world, and especially in the United States. |
National Defense
November 2011
Piazza & Ayers |
Regulators Flex Foreign Corrupt Practices Act Enforcement Muscles Continuing a trend that started late in the last decade, the Securities and Exchange Commission this year continues to raise the bar on the enforcement of the Foreign Corrupt Practices Act of 1977. |
CFO
September 1, 2008
Kate O'Sullivan |
Gunning for Global Graft The Department of Justice and the SEC turn up the heat on briberies of foreign officials. |
Chemistry World
January 11, 2016
Phillip Broadwith |
GSK's ViiV to buy HIV drugs from BMS Bristol-Myers Squibb has agreed to sell its entire portfolio of investigational HIV drugs as the company seeks to exit research in virology. |
CFO
January 1, 2005
David M. Katz |
The Bribery Gap While foreign rivals may make payoffs routinely, U.S. firms face new pressure to root out abuses. |
National Defense
September 2005
Shaheen & Geren |
Penalties Get Tougher For FCPA Violations The government is cracking down on bribes by government contractors to foreign officials. |
CFO
February 1, 2006
Alix Nyberg Stuart |
Penalty Box The SEC is handing out bigger and bigger fines for misdeeds. But is this the right approach? |
Chemistry World
August 6, 2014
Hepeng Jia |
GSK's China troubles continue The company faces official prosecution over accusations of bribery and corruption, litigation from fired employees and an upcoming trial of private investigators employed to look into a blackmail attempt. |
The Motley Fool
June 6, 2005
Stephen D. Simpson |
Bristol-Myers' Paltry Penalty A reported settlement with the DOJ will put an end to an ugly scandal at the pharmaceutical, but the fine doesn't seem to fit the crime. As is always the case, the current shareholders will pay for the sins of past management. |
National Defense
September 2015
Kopp & Bhatia |
U.S. Cracking Down on Defense Industry Corruption Overseas The race for international sales during the past few years has been followed by a wave of government investigations into defense companies for both major and relatively minor violations of the Foreign Corrupt Practices Act. |
The Motley Fool
June 14, 2011
Cindy Johnson |
Simcere Pharmaceutical Shares Plunged: What You Need to Know Simcere Pharmaceutical Group dropped 10% in intraday trading today as investors continued to doubt the financial health of U.S.-listed Chinese companies. |
On Wall Street
October 1, 2009
Thomas O. Gorman |
SEC v. Bank of America: Where to Go From Here? The SEC thought it had completed an investigation, brought an enforcement action and then settled it. |
Investment Advisor
September 2009 |
Broker/Dealer News Actions by the SEC and FINRA |
Chemistry World
March 16, 2015
Rebecca Trager |
Drug firms warned to be honest with investors The US Securities and Exchange Commission is concerned that too many pharmaceutical companies aren't being sufficiently transparent with investors about their interactions with regulators at the US Food and Drug Administration. |
The Motley Fool
November 11, 2004
Rich Smith |
SEC Targets Lucent Ex-Execs Investigation into alleged Saudi bribery by its Chinese subsidiary moves ahead. Lucent's stock has dropped 15% in value. |
InternetNews
May 17, 2004
Colin C. Haley |
Lucent Settles SEC Complaint The company looks to eliminate distractions in an improving climate for network equipment. |
The Motley Fool
January 8, 2004
Rich Smith |
Oops, I(BM) Did it Again Once again IBM finds itself embattled in bribing controversy abroad. |
The Motley Fool
February 1, 2008
Brian Lawler |
Credit Crisis Bites Big Pharma Bristol-Myers Squibb takes a $275 million writedown in its investment portfolio for the quarter. |
Financial Planning
September 1, 2008
Andrew Ackerman |
SEC Probes Wachovia The Securities and Exchange Commission enforcement staff has notified Wachovia Bank that they may recommend the SEC file charges against it, as a result of an investigation into alleged anti-competitive bidding practices. |
Registered Rep.
December 1, 2006
John Churchill |
Blotter Shelf Space No No... Broker Gets 14 Years... |
The Motley Fool
October 2, 2007
Billy Fisher |
Closure for Bristol-Myers Bristol-Myers will pay $515 million to resolve cases from state and federal authorities alleging that the company promoted products for uses that hadn't been approved by the FDA. |
Registered Rep.
May 10, 2007
Kristen French |
SEC Impostors on the Loose The SEC issued an alert to securities industry firms, warning them to keep an eye out for impostors -- individuals pretending to work for the SEC. |
Chemistry World
April 4, 2013
Phillip Broadwith |
Amylin headquarters to close with further job losses Bristol-Myers Squibb has confirmed that it will be closing the site in San Diego, US, which was formerly the corporate headquarters of biotech firm Amylin. |
Pharmaceutical Executive
December 1, 2010
Chaturvedi & French |
US Anti-Corruption Regulation Risks Stepped-up enforcement of the Foreign Corrupt Practices Act requires enhanced global coordination of compliance |
Chemistry World
July 29, 2013
Hepeng Jia |
China corruption investigation broadens Investigations of corrupt practices at GlaxoSmithKline in China are continuing. But analysts claim that the scandal is an attempt to remodel the Chinese drugs market, rather than a deliberate attack on international companies. |
The Motley Fool
July 13, 2011
Jonathan Berr |
Rupert Murdoch's Never-Ending Headache A $5 billion share buyback won't calm outraged investors as a possible federal inquiry looms. |
Registered Rep.
May 2, 2007
John Churchill |
SEC Fines A.G. Edwards for Failure to Supervise Add A.G. Edwards to the long list of firms that have been fined by the SEC for long-ago failures to supervise brokers who deceptively market timed mutual funds. |
The Motley Fool
February 9, 2007
Dan Caplinger |
Millionaires Need Protecting, Too Regardless of how this issue plays out, expect continuing friction between the SEC and the hedge-fund industry. In the meantime, if you want to use alternative investments, you'd best get started toward the new $2.5 million mark. |
Registered Rep.
May 1, 2005 |
Blotter Not-So-Hot IPO: The NASD fined Thomas Weisel Partners for levying exorbitant commission charges on "hot" IPO shares... Expelled, Reinstated, Expelled: Brokerage firm LH Ross was officially expelled from the securities industry and fined... etc. |
Financial Advisor
January 2004
Jay Gould |
Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react? |
BusinessWeek
May 20, 2010
Jesse Westbrook & David Scheer |
How Big a Hit Will Goldman Take? Congress and the public expect the SEC to extract a big fine |
Registered Rep.
September 1, 2005
Karen Donovan |
Under Siege Executives of broker/dealer firms are not exaggerating when they say it seems like regulators are locked into a competitive battle to collect the most pelts on Wall Street. |
Investment Advisor
July 2008
Melanie Waddell |
SEC Chairmen of Yore Speak Six former SEC chairmen pointed to quite a few regulatory challenges that loom large -- namely globalization of the world markets, the burgeoning market for complex synthetic securities, and the continued growth of hedge funds. |
The Motley Fool
July 6, 2004
Tom Taulli |
Grim Reaper Visits EasyLink By all appearances, EasyLink is being hit for a minor offense. Not according to the SEC. |
CFO
June 1, 2009
Reason & Stuart |
Crackdown Alert After a GAO report documents a slowdown in the SEC's case generation and penalty volume under former chairman Christopher Cox, the regulator's new leaders talk tough. |
The Motley Fool
July 11, 2007
Brian Lawler |
Not All Pharmaceutical Markets Are the Same The case of China's former FDA leader highlights the issues facing the country's pharmaceutical industry. Investors, take note. |
National Defense
July 2010
Anderson & Goodwin |
Anti-Bribery Case in China a Wake-Up Call The recent Rio Tinto case in China is a powerful reminder why a vigilant and robust Foreign Corrupt Practices Act of 1977 (FCPA) corporate compliance program is important. |
BusinessWeek
June 18, 2007
Dawn Kopecki |
Backdating: Why Penalties Are Puny The SEC considers options violations less serious than other kinds of financial fraud. |
InternetNews
January 13, 2005 |
Google Square with SEC Google has reached an agreement with the Securities and Exchange Commission regarding its failure to register stock options issued to employees, according to a financial document filed on Thursday. |
Chemistry World
March 14, 2014
Phillip Broadwith |
Bristol-Myers Squibb to close Irish plant BMS tied the closure to 'changing market demand' for its products, along with efforts to optimize its manufacturing network. |
Registered Rep.
April 26, 2005
Kristen French |
A Pawn Takes the Queen Charles Elliott scores one for the "little guy," and proves that sometimes it pays for a broker to take on securities regulators, despite their financial and legal heft. |
CFO
March 1, 2004
Kris Frieswick |
Bar Hopping Already considered one of the most severe civil penalties for securities violations, officer and director (O/D) bars have been embraced by the Securities and Exchange Commission with a new zeal. |
BusinessWeek
December 27, 2004
Emily Thornton |
Hedge Funds Find An Escape Hatch The loophole: Locked-up funds don't require oversight. That means more risk for investors. |
Registered Rep.
November 29, 2011
Diana Britton |
FINRA Strikes Again: Eight B/Ds Busted for Sale of Private Placements The Financial Industry Regulatory Authority continues its crackdown on the sale of troubled private placements, filing sanctions against eight firms and 10 individuals Tuesday and ordering them to pay restitution to investors. |
Chemistry World
June 5, 2015
Rebecca Trager |
BMS sues executive for joining rival company Bristol-Myers Squibb has filed a lawsuit against a former executive who quit suddenly last month to work for a direct competitor, AstraZeneca. |
Registered Rep.
June 24, 2009
John Churchill |
SEC Says Time To Tighten Rules On Money Market Funds After one of the oldest and largest money market funds suffered such severe redemptions that the net asset value of its shares fell below $1, the SEC is proposing structural and regulatory changes for money markets |
Investment Advisor
February 2009
Melanie Waddell |
Mary Schapiro's Priorities Mary Schapiro tells the Senate Banking Committee what her priorities will be at the SEC. |
Chemistry World
December 20, 2013
Patrick Walter |
AstraZeneca shells out $4.1bn for diabetes business AstraZeneca has agreed to pay Bristol-Myers Squibb up to $4.1 billion for its share of the pharma giants' diabetes joint venture. |
