3 Recent Events Echo 2008. Asset Managers Should Take Note and Reevaluate Exposure to Systemic Risk.
Recent events put market controls imposed following the Great Recession to the test. While turbulence from COVID-19 was brought under ...
Tag: Dodd-Frank Act
Biden’s Inauguration Heralds a New Era in Financial Regulation
Known for its “America First” policy, the Trump administration led a push to roll back financial regulatory measures. As Acuity ...
Anticipating the Next New Variety of Cybersecurity Litigation
Whistleblower cases may be the next trend in cybersecurity litigation. Morrison & Foerster’s Kristen J. Mathews, Mark David McPherson and ...
What’s Next for Compliance Enforcement?
The 2005 docudrama Syriana captured the moment just before FCPA enforcement reached the great heights we’ve come to expect today. ...
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 ...
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 – ...
