All Articles By Date

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Crossing the Dotted Line

Posted by - August 21, 2017 0
OFAC Penalty Clarifies Rule on Sanctioned Executives with contributing authors Ali Burney and Nicholas Turner The Office of Foreign Assets…
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OIG Enforcement on the Rise

Posted by - August 15, 2017 0
With Increase in Fraud, Physicians Face Stricter Regulations The Attorney General’s investigation into opioid prescription fraud and abuse will increase…
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Data Analytics Becomes Reality

Posted by - July 18, 2017 0
4 Techniques for Auditors While data analytics in audit has been discussed for more than two decades, most internal audit teams are just beginning to make serious investments…
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Smoke and Mirrors

Posted by - June 29, 2017 0
The Opaque Nature of Ownership As regulation around global business relationships increases in importance, it’s critical for enterprises to know…
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Deconstructing MiFID II

Posted by - June 26, 2017 0
6 Critical Changes for Client Life Cycle Management In less than six months’ time (January 3, 2018), banks must be…
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The Kokesh Decision

Posted by - June 9, 2017 0
One Question Answered, Others Left Open In a recent Supreme Court decision, the nation’s highest court limits the SEC’s power…
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Preparing to Hyperlink

Posted by - June 7, 2017 0
8 Helpful Tips Issuers Should Know The SEC’s new rule amendment requiring issuers who present exhibits in numerous regulatory forms…

Haider Settlement

Posted by - May 26, 2017 0
The ex-compliance chief of MoneyGram International Inc. (MoneyGram) is found personally liable for MoneyGram’s AML failures. The lawsuit is unprecedented…
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