With Redefined Risks, GCs Must Redefine Their Role
New global research from Morrison & Foerster reveals that GCs want to be evaluated on how effectively they protect their ...
Tag: SEC
FinCEN Guidance: Crypto Firms Take Notice
Trading regulations on CVCs are due for a refresher course from FinCEN in light of recent penalties against a P2P ...
Intelligize: No-Action Letter Citation – Analyzing Excluded Shareholder Proxy Proposals
More than half of all shareholder proxy proposal exclusions allowed by the SEC are based on Rules 14a-8(i)(7) and 14a-8(i)(10), according ...
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 ...
The Cost of Noncompliance is Rising – How Regtech Can Help
In this follow-up to a recent piece extolling the benefits of regtech, ACA Technology’s Burt Esrig provides insight into the ...
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 ...
How Defensible Is Your Compliance Approach?
About this time each year – when the SEC’s Office of Compliance Inspections and Examinations (OCIE) releases its annual Examination ...
Executive Accountability for Internal Cybersecurity Disclosure
ERP Maestro's CEO Jody Paterson discusses cybersecurity risk disclosure and compliance and how executives are being held more personally accountable ...
SEC Targets Investment Advisers
Bressler, Amery & Ross attorneys Kerry Zinn and Jacqueline Aleman discuss the SEC’s recent actions in light of the 2018 ...
6 Benefits of Regtech
The regulatory technology (regtech) scene is exploding – last year, global regtech investment surpassed $1 billion. This tech can help ...
10 Corporate Cybersecurity Predictions
In the fast-moving world of cybersecurity, predicting the full threat landscape is near impossible. But it is possible to extrapolate ...
Financial Sector Transformations Ahead
Eric Johnson, President of Global Investment Markets at Donnelley Financial Solutions (DFIN) outlines six key forces driving change for the ...
- Equal Earth, Inc., et al. June 18, 2019SEC Charges Green Energy Company and Two Senior Officers with Offering Fraud Charges
- Raymond Starker June 18, 2019SEC Charges New Jersey Investor with Insider Trading
- Alton Perkins, et al. June 14, 2019SEC Charges North Carolina Businessman and His Companies with Fraudulent Offering Scam
