Defendant Name:
GlaxoSmithKline plc
Defendant Type:
Public Company
SIC Code:
2834
CUSIP:
37733W10
Document Reference:
34-79005
Document Details
Legal Case Name
In the Matter of GlaxoSmithKline plc
Document Name
Order Instituting Cease-and-Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
30-Sep-2016
Document Format
Administrative Proceeding
AAER
3810
Allegation Type
Foreign Corrupt Practices Act
Document Summary
On September 30, 2016, the SEC issued a settled administrative proceedings against GlaxoSmithKline plc for the violations of the internal controls and recordkeeping provisions of the FCPA.
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Other Compliance Related Undertaking
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$20,000,000.00
Shared: