Don’t Mess with the SEC Whistleblower Program, Part 2
We’re all in agreement that culpable whistleblowers should not be eligible for financial awards. But Dan Hurson argues that legislation ...
Tag: Dodd-Frank Wall Street Reform and Consumer Protection Act (Dood-Frank)
Dodd-Frank is Unlikely to Be Repealed
There is a distinct lack of consensus in Washington on a lot of political fronts these days, but there’s an ...
Don’t Mess with the SEC Whistleblower Program, Part 1
One of the more hotly contested issues with Dodd-Frank was that the Act would encourage misconduct – that the promise ...
Sun May Be Rising for Community Banks
A new world of opportunity for community banks may be opening up this year, as new Federal Financial Institutions Examination ...
Are Best Practices Being Reinvented in Hedge Fund Risk Compliance?
Hedge funds face a disproportionately complicated regulatory environment in which many buy-side players face additional requirements when compared with the ...
What Does Trump’s Presidency Mean for Dodd-Frank Whistleblowers?
President Trump’s promises to dismantle the Dodd-Frank Wall Street Reform and Consumer Protection Act raise questions about how a repeal ...
The FCPA and SOX & Internal Controls – Twin Sons of a Different Mother?
Both pieces of legislation aim to minimize wrongdoing – one to prevent corruption abroad, the other to minimize financial fraud. ...
