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Letter to FSA re 'Questions of Compliance' report
RAID
June 4, 2011
Letter to Chief Executive of Financial Services Authority enclosing a copy of 'Questions of Compliance'
Letter to FSA re 'Questions of Compliance' report -
Questions of Compliance
RAID
May 13, 2011
Report detailing shortcomings in the regulation of London's (junior) Alternative Investment Market and recommending reform, with specific reference to the conduct of CAMEC and Seymour Pierce
Questions of Compliance -
oz_bribery_in_its_purest_form_executive_summary_rev
RAID
Reports on the repeated failure of the UK regulatory authorities over a 10-year period to take action to prevent assets acquired through corrupt means being traded on the London markets.
In September 2016, the U.S. Department of Justice (DOJ) charged Och-Ziff Capital Management Group LLC (Och-Ziff), one of the largest hedge funds in the world, with conspiracy to violate the anti-bribery provisions of the Foreign Corrupt Practices Act (FCPA). The Securities and Exchange Commission (SEC), which regulates the New York stock exchange, also announced that Och-Ziff had agreed to settle civil charges of violating the FCPA. RAID’s report examines the corrupt transactions in Democratic Republic of Congo (DRC) and suspicious payments in Zimbabwe, as detailed by the SEC and DOJ.
oz_bribery_in_its_purest_form_executive_summary_rev.pdf