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 ...
Tag: Dodd-Frank
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. ...
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