Strong compliance must permeate your organization at every level. The right tone at the top and a strong CCO are crucial, but not sufficient. ...
Although there is overlap in the topics covered in FSOC’s update and the SEC’s proposed reforms, it should be understood that the SEC’s analysis of ...
OCIE staff is working hard to do more with less by improving our efficiency and maximizing our coverage, influence, and impact on our registrants. It ...
The Division of Enforcement is also making great use of new tools. In insider trading investigations, for example, the Division uses sophisticated software to ...
Boards should also think more broadly about the emerging problems of tomorrow and what issues they may be missing. In doing their jobs in ...
Today, I am very pleased to say that I am not the first at something. I am, in fact, the third woman to serve ...
Over the past few years, we have noticed what seems to be an increase in the number of complaints regarding such frauds. One common characteristic ...
Where do we go from here? The SEC needs to evaluate the cumulative impact of all of these new rules on the securitization markets. ...
Payton and Durant were sophisticated stock brokers who used highly confidential information about an upcoming transaction to illegally make hundreds of thousands of dollars at ...
The Accredited Investor definition is another important subject for us and for many across the small business community. I know this is an area of ...