Tag: Dodd-Frank

businessman struggling under weight of PSD2 block

Top Banking Regulations & Security Compliance Requirements for 2018

Posted by - August 28, 2018
The Developments Impacting Financial Institutions Now It’s hard to wrap your head around all the myriad regulations for financial institutions, and these changes can directly impact an organization’s digital transformation initiatives. Many countries are calling for further regulation, while in the U.S. we’re seeing reform and deregulation, as evidenced by the…
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Financial Forecast: Cloudy with a Good Chance of Behavioral Insight

Posted by - July 30, 2018
A Cloud-First Approach to Managing Financial Communications Data The current regulatory framework, which has grown more complex since the 2008 financial crisis, requires more information to be recorded. Regulators have come to realize that in most cases of misconduct, voices may be the only evidence of bad behavior they can…

Whistleblower Laws: Current Issues

Posted by - July 18, 2018
Q&A with Rick Schroeder of Jones Walker Rick Schroeder, leader of the Corporate Compliance & White Collar Defense Practice at Jones Walker in New Orleans, discusses whistleblower laws and protections with CCI’s Publisher, Maurice Gilbert. Maurice Gilbert: What is the most important challenge for compliance officers relating to whistleblower laws,…
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One of the World’s Most Feared Enforcement Tools

Posted by - July 5, 2018
The History of FCPA Enforcement, Part 2 In Part 1 of this two-part series on the history of the enforcement of the FCPA, Anne Eberhardt discussed some of the factors that led to its creation. In this second part, she describes how the FCPA evolved into one of the most…

2018 Proxy Season: Emerging Issues Take Center Stage

Posted by - May 3, 2018
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, Ron Schneider of Donnelley Financial Solutions examines key issues emerging…
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Retaliation? Tell It to the SEC

Posted by - April 3, 2018
Implications for Compliance Program from the Digital Realty Ruling The Supreme Court ruled recently on the Digital Realty v. Somers case, and the decision is significant from a compliance standpoint; potential informants are incentivized to report directly to the SEC rather than through internal channels. Peter Rasmussen of Bloomberg Law…
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What Is the Current State of Anti-Bribery and Corruption Prosecution?

Posted by - March 23, 2018
Trump and the FCPA Instances of global corruption pepper our newspapers and news feeds. Closer to home, allegations of corruption have taken center stage in the American political landscape, and President Trump has been openly critical of the Foreign Corrupt Practices Act, leaving many in the compliance field to wonder…
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Good News for Whistleblowers

Posted by - October 10, 2017
SEC Issues Statement on Cybersecurity High-profile data breaches seem to come fast and frequently these days. Last month, the Securities and Exchange Commission revealed it was the target of a cyberattack through which the criminals gained access to nonpublic information. With the announcement, the SEC declared its renewed focus on…
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The Battle for Call Recording Compliance

Posted by - September 14, 2017
A “Call” to Arms for Banks In the wake of growing and complex financial legislation, many banks and financial service companies in the U.S., Europe, and Asia have been looking to ensure the activities of their traders and contact centers are compliant with these regulatory requirements. However, call recording compliance…

Startups Should Plan for Regulatory Challenges from the Outset

Posted by - September 7, 2017
Fast-growing companies should prepare now for what the government might throw at them in the future, writes veteran counselor with national law firm LeClairRyan Richmond, VA (September 7, 2017) – Rapid growth can trigger the need to comply with complex regulations, but smaller companies often fail to plan ahead for these challenges,…
placard reading Jeff Sessions on desk with American flags

AG Sessions Vows to Continue Enforcement of FCPA

Posted by - July 20, 2017
Penalties for Noncompliance Remain Severe Attorney General Jeff Sessions has identified enforcing the Foreign Corrupt Practices Act as a high priority for the Trump administration in its ongoing efforts to combat corporate misconduct.  News of this, along with other statements by officials within the Department of Justice, came as a…
canvas bag full of money

Don’t Mess with the SEC Whistleblower Program, Part 2

Posted by - April 11, 2017
We’re all in agreement that culpable whistleblowers should not be eligible for financial awards. But Dan Hurson argues that legislation already in place has guards against the potential of awarding guilty parties. And the vast majority of whistleblowers have kept their hands clean anyhow. The inclusion of a “co-conspirator” disqualifier…