Tag: Dodd-Frank Act

The Developments Impacting Financial Institutions Now It’s hard to wrap your head around all the myriad regulations for financial institutions, ...

Compliance officers eligible to participate in the SEC and CFTC whistleblower programs must navigate strict rules. Speaking up always carries ...

Whistleblower award programs had record-breaking years in 2018, with more than $243 million in award payouts. Attorneys Michael Filoromo and ...

The SEC is considering a rule change that would effectively introduce a floor and a ceiling for whistleblower awards. As ...

Implications for Compliance Programs from the Digital Realty Ruling The Supreme Court ruled recently on the Digital Realty v. Somers ...

As 2018 draws to a close, we’re taking a look back at some of the most valuable insights our authors ...

Reducing Cost and Complexity, Increasing Accuracy and Reliability As we mark the 10-year anniversary of the 2008 banking crisis – ...

Q&A with Rick Schroeder of Jones Walker Rick Schroeder, leader of the Corporate Compliance & White Collar Defense Practice at ...

A Cloud-First Approach to Managing Financial Communications Data The current regulatory framework, which has grown more complex since the 2008 ...

The History of FCPA Enforcement, Part 2 In Part 1 of this two-part series on the history of the enforcement ...

Key Issues for Proxies and Investors The relationship between publicly traded companies and their shareholders continues to evolve toward more ...

SEC Issues Statement on Cybersecurity High-profile data breaches seem to come fast and frequently these days. Last month, the Securities ...