SEC & FINRA: 4 Shared Regulatory Priorities
Where Firms Should Concentrate Compliance Efforts In the past few months, both the SEC and FINRA issued guidance concerning their ...
Tag: SEC
The Top 10 Regulatory and Litigation Risks
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 ...
The Trump Effect on FCPA Enforcement
As U.S. Enforcement Lags, International Attention to Domestic Corruption Takes a Front Seat Despite assurances from senior DOJ officials that ...
How Counsel Relationships Can Increase Scrutiny
Rethinking Independence in Internal Investigations Demonstrating and ensuring independence in internal investigations is a critical issue for corporate counsel to ...
Setting the Tone: No Back Seat for the CEO
How the CEO Can Best Support Compliance Keeping a tight rein on compliance is the name of the game for ...
