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 ...
Tag: Dodd-Frank Act
AG Sessions Vows to Continue Enforcement of FCPA
Penalties for Noncompliance Remain Severe Attorney General Jeff Sessions has identified enforcing the Foreign Corrupt Practices Act as a high ...
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 ...
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 ...
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 ...
Dodd-Frank is Unlikely to Be Repealed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 2
We’re all in agreement that culpable whistleblowers should not be eligible for financial awards. But Dan Hurson argues that legislation ...
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 ...
