How Does a Compliance Officer Blow the Whistle – And What Happens Then?
Compliance officers eligible to participate in the SEC and CFTC whistleblower programs must navigate strict rules. Speaking up always carries ...
Tag: Dodd-Frank
Can Compliance Officers Be Whistleblowers?
Whistleblower award programs had record-breaking years in 2018, with more than $243 million in award payouts. Attorneys Michael Filoromo and ...
SEC’s Misguided “Solution” In Search Of A Problem
The SEC is considering a rule change that would effectively introduce a floor and a ceiling for whistleblower awards. As ...
Whistle While You Work, Part 2
VinciWorks’ Sandra Erez envisions corporate whistleblowing hotlines as an outgrowth of the infamous "red phone" from the era of the ...
A Look Back on the CFTC’s Robust Year in Enforcement
Gregory S. Kaufman and Amber S. Unwala of Eversheds Sutherland (US) LLP review enforcement activity by the Commodity Futures Trading ...
Best of 2018: Top Banking Regulations & Security Compliance Requirements
As 2018 draws to a close, we’re taking a look back at some of the most valuable insights our authors ...
From the FCPA to #MeToo
How Sexual Harassment is Changing American Compliance Corporate compliance has been around for decades – sexual harassment for much, much ...
Reinventing Financial Compliance
Reducing Cost and Complexity, Increasing Accuracy and Reliability As we mark the 10-year anniversary of the 2008 banking crisis – ...
Top Banking Regulations & Security Compliance Requirements for 2018
The Developments Impacting Financial Institutions Now It’s hard to wrap your head around all the myriad regulations for financial institutions, ...
Financial Forecast: Cloudy with a Good Chance of Behavioral Insight
A Cloud-First Approach to Managing Financial Communications Data The current regulatory framework, which has grown more complex since the 2008 ...
Whistleblower Laws: Current Issues
Q&A with Rick Schroeder of Jones Walker Rick Schroeder, leader of the Corporate Compliance & White Collar Defense Practice at ...
One of the World’s Most Feared Enforcement Tools
The History of FCPA Enforcement, Part 2 In Part 1 of this two-part series on the history of the enforcement ...
- Terry Wayne Kelly and Kelly Management, LLC August 22, 2019SEC Charges Mississippi Company and its Principal with Fraud in Timber Ponzi Scheme
- Andrew J. Kandelapas August 20, 2019SEC Obtains Final Judgment Against CEO in Penny Stock Fraud Scheme
- Crystal World Holdings, Inc., et al. August 19, 2019SEC Charges Issuer for Misleading Investors in the Sale of Unregistered Securities
