Protecting Privacy Rights While Preventing Financial Exploitation
Financial institutions must balance the desire to protect vulnerable clients from financial exploitation with their clients’ rightful expectation that their ...
Tag: SEC
What Financial Firms Must Do to Mitigate the Risks of Digital Communications
Emerging technologies are complicating compliance for financial services firms. Smarsh’s Robert Cruz, an expert on information governance and regulatory compliance, ...
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 ...
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 ...
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 ...
- Terry Wayne Kelly and Kelly Management, LLC August 22, 2019SEC Charges Mississippi Company and its Principal with Fraud in Timber Ponzi Scheme
- Andrew J. Kandelapas August 20, 2019SEC Obtains Final Judgment Against CEO in Penny Stock Fraud Scheme
- Crystal World Holdings, Inc., et al. August 19, 2019SEC Charges Issuer for Misleading Investors in the Sale of Unregistered Securities
