Governance
Senator Russ Feingold discusses McCain-Feingold, Citizens United and the vast, opaque sums involved in US politics today.
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When was the last time you saw a positive news story come out of Venezuela? Probably has been a while. Any organization with ties to the country needs to be aware of the increasingly severe sanctions being imposed on the...
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Aaron O’Connell, a Marine colonel, author and history professor discusses his research of, and personal experience in, Afghanistan and his excellent book: Our Latest Longest War: Losing Hearts and Minds In Afghanistan.
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Key Issues for Proxies and Investors The relationship between publicly traded companies and their shareholders continues to evolve toward more communications and mutual understanding—and that’s impacting the sort of content featured in proxy statements. As the 2018 proxy season unfolds,...
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Corporate boards that want to increase their diversity usually focus on gender and race. But are they paying enough attention to age diversity? PwC’s Census of Directors 50 and Under uncovers how younger directors may be setting the pace on specific...
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It is rare these days for Republicans and Democrats to agree on political priorities – another profound grasp of the obvious. Recently, on Capitol Hill there appears to be some common ground on the issue of reforming AML laws and...
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At stake in the prolonged debate over a “best-interest” standard of care for retirement advice are $7.5 trillion in 401(k)-type assets and $8.4 trillion in IRA assets. Whether or not the Department of Labor (DOL) and the Securities and Exchange...
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The Financial Industry Regulatory Authority is under the radar for many organizations. Being fully aware of the violations and their consequences can prevent unneeded issues.
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A recent High Court ruling in the U.K. holding a business responsible for the protection of personal data is a clear indication of which way the High Court will rule when the EU’s General Data Privacy Regulation (GDPR) goes into...
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To all the “nattering nabobs of negativity” concerning FCPA enforcement, the US Justice Department responded with a resounding message – not only is FCPA enforcement here to stay, but individual violators are on DOJ’s radar screen. In an FCPA enforcement...
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Companies and individuals are increasingly the targets of regulatory investigations in Australia. Local regulators have long expressed frustration at the disparity between the options available to them when compared to their overseas counterparts. However, recent developments indicate a broadening of...
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U.S. financial institutions are scrambling to adjust to the expected shift within the trading industry with the implementation date of MiFID II, January 3, 2018, quickly approaching. Whether or not financial institutions plan to absorb the cost of research, middle and...
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- Worldwide Markets, Ltd., TAB Networks, Inc., and Thomas F. Plaut June 25, 2019SEC Charges Unregistered Security-Based Swaps Broker with Defrauding Retail Customers
- Richard Vu Nguyen, et al. June 25, 2019SEC Halts Fraud Targeting Vietnamese-American Community
- Avi Chiat June 24, 2019SEC Obtains Final Judgment Against Defendant in Hedge Fund Fraud Scheme
