10 Takeaways from the SEC’s Mutual Fund Derivatives Rule
Nutter McClennen & Fish’s Mark Jensen and Ian Roffman address the SEC’s recently issued rules for the use of derivatives. ...
Tag: SEC
How to Safeguard Your Firm from Regulatory Action
A recent SEC settlement with Interactive Brokers underscores the need for true commitment to compliance. Guidepost Solutions’ Megan Prendergast Millard ...
Accounting for Loss Contingencies – “Hindsight is 20/20”
Ron Kral offers an analysis of the SEC’s recent order against BorgWarner, charged for making material misstatements by failing to ...
Have Compassion for Today’s Compliance Officer
Kroll’s Jordan Strauss, Mariellen Davies-DeMarco and Alyssa Heim discuss what they view as the most significant threats to good governance ...
Top 10 Anti-Corruption Developments of the 2010s
Morrison & Foerster’s James Koukios and Amanda Aikman examine 10 ways in which the anti-corruption compliance landscape changed dramatically in ...
Impacts of COVID-19 on Shareholder Meeting Season and Reporting
Given the far-reaching effects of the coronavirus pandemic, shareholder meeting season this year is far from business as usual. BDO’s ...
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 ...
Getting to the Bottom of Whistleblower Complaints
Whistleblowing is on the rise and may gain further traction from recent stories in the news, increasing the burden on ...
The Shoe Drops on Theranos’ Former CEO and COO
Criminal Indictment Filed Charging Fraud The fallout continues for Elizabeth Holmes and Sunny Balwani, respectively the CEO and COO of ...
COVID-19 and Working from Home: Enforcement Implications
Eversheds Sutherland partners with Smarsh to focus on enforcement actions in key areas that are already presenting significant challenges to ...
Practical Tips for Navigating SEC Comment Letters
Comment letters from the SEC can come out of the blue, require a lot of work involving executive leadership and ...
Certifying Third-Party FCPA Compliance Under New SEC/DOJ Requirements
How can I possibly certify that 100 percent of my third parties, including all customers and vendors, are 100 percent ...
