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, ...
Tag: Dodd-Frank Act
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 ...
Retaliation? Tell It to the SEC
Implications for Compliance Programs from the Digital Realty Ruling The Supreme Court ruled recently on the Digital Realty v. Somers ...
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 ...
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 ...
2018 Proxy Season: Emerging Issues Take Center Stage
Key Issues for Proxies and Investors The relationship between publicly traded companies and their shareholders continues to evolve toward more ...
The Battle for Call Recording Compliance
A "Call" to Arms for Banks In the wake of growing and complex financial legislation, many banks and financial service ...
