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 ...
Tag: SEC
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 ...
SEC’s Misguided “Solution” In Search Of A Problem
The SEC is considering a rule change that would effectively introduce a floor and a ceiling for whistleblower awards. As ...
The Asia-Pacific Top 10 FCPA Enforcement Actions of 2018
Notable Cases, Settlements and Sentencings Wendy Wysong, Nick Turner and Anthony Pan from Clifford Chance discuss last year’s most significant ...
A Look Back on the CFTC’s Robust Year in Enforcement
Gregory S. Kaufman and Amber S. Unwala of Eversheds Sutherland (US) LLP review enforcement activity by the Commodity Futures Trading ...
- Eric D. Lyons, et al. April 23, 2019SEC Halts Misappropriation and Fraudulent Securities Offering
- David M. Loflin April 22, 2019SEC Charges Microcap Fraudster with Running a Pump-and-Dump Scheme
- Kimberly Sredich April 19, 2019SEC Charges Kimberly Sredich with Misappropriation Scheme
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