Combating Regulation by Enforcement: A Strategic Framework for Responding to State Agency Overreach
State agencies are pushing the envelope with respect to their regulatory enforcement authority. Venable’s Randy Seybold and Andrew Kay explore ...
Tag: financial crisis
P2P Lending: Risks and Business Models
Peer-to-Peer (P2P) lending is a relatively recent financial innovation that has taken the lending market by storm and fueled financial ...
Does ERM Really Matter in Your Organization?
Maturing Risk Management in Light of COSO Updates Recent updates to the COSO framework serve to clarify the significance of ...
Reinventing Financial Compliance
Reducing Cost and Complexity, Increasing Accuracy and Reliability As we mark the 10-year anniversary of the 2008 banking crisis – ...
Managing the Effects of Short-Termism on Risk Management
6 Recommendations to Maintain Effective Risk Oversight As the financial crisis thoroughly demonstrated, an acute focus on short-term gains can ...
5 Strategies CEOs Can Apply to Avoid Record-Breaking FINRA Fines
The prospect of record-breaking fines for noncompliance with regulations set by the Financial Industry Regulatory Authority (FINRA) continues to loom ...
Risk Management: Avoiding Blind Spots
Addressing the Bias Problem Though virtually every involved party was at fault to some degree, bias on multiple fronts was ...
10 Principles for Effective Board Risk Oversight
The National Association of Corporate Directors published an authoritative guide in 2009 on risk governance, and the principles outlined therein ...
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 ...
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- John Special, Defendant, and Michael Murphy, Relief Defendant, John Kenneth Davidson December 12, 2019SEC Obtains $3 Million Settlement in Insider Trading Action
- Palm Beach Atlantic Financial Group, LLC and William A. Smith December 11, 2019SEC Charges Florida Resident and His Corporate Entity for Fraudulent Securities Offerings
- Nanotech Engineering, Inc., Michael James Sweaney (also known as Michael Hatton), David Sweaney, and Jeffery Gange December 11, 2019SEC Obtains Asset Freeze to Halt Alleged Offering Fraud
