Tag: SEC

Mitigating the Risk Posed by Introducers Wendy Wysong and associates at Clifford Chance write on the rise in prominence of ...

Q&A with Rick Schroeder of Jones Walker Rick Schroeder, leader of the Corporate Compliance & White Collar Defense Practice at ...

How the Changes Will Affect Financial Reporting Recent changes by the SEC to qualification thresholds have altered the qualifications for ...

"Resources Reflect Policy" and Other Observations Michael Volkov discusses themes emerging in the DOJ’s and SEC’s enforcement of FCPA violations ...

The History of FCPA Enforcement, Part 2 In Part 1 of this two-part series on the history of the enforcement ...

How to Overcome Technological Roadblocks What a time to work in the GRC field: new technologies are constantly emerging to ...

The Fifth Circuit Vacates the DOL Fiduciary Rule On March 15, 2018, the U.S. Court of Appeals for the Fifth ...

New Guidance Mandates Greater Attention to Cybersecurity Planning The SEC’s recently issued guidance is just the latest indication that government ...

The Case for a Risk-Based Approach New SEC rulings on cybersecurity disclosures for public companies went into effect just a month ago, ...

Where Firms Should Concentrate Compliance Efforts In the past few months, both the SEC and FINRA issued guidance concerning their ...

Key Concerns for Private Funds in 2018 with co-authors Joshua M. Newville, Michael R. Hackett, Anthony Drenzek, William Dalsen, Alexandra V. Bargoot, Brian Hooven and Lucy Wolf With ...

As U.S. Enforcement Lags, International Attention to Domestic Corruption Takes a Front Seat Despite assurances from senior DOJ officials that ...