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Sept. 19 Webcast: Seeing the Entire Playing Field — Navigating Concurrent Matters in Multiple Jurisdictions
Please join Michele E. Rose, Robert P. Howard, Jr., Jim Barratt and Amy Gonce for this free webcast.
Seeking Nominations for Securities Docket’s ‘Enforcement 40′
Securities Docket welcomes your nominations for our updated ‘Enforcement 40′ — the 40 best and brightest securities enforcement defense professionals in the industry.
Despite warning, virtual-coin initial offerings grow – SFGate
But many lawyers in the industry have been warning entrepreneurs that just because a coin is intended to serve as a payment method does not mean that it cannot also be categorized as a security. Nick Morgan, formerly a lawyer in the SEC’s enforcement division, said the security label was likely to apply to any […]
FINRA Promotes Susan Schroeder to Head of Enforcement; Announces Plan to Consolidate Existing Enforcement Functions | FINRA.org
The Financial Industry Regulatory Authority (FINRA) announced today that it has promoted Susan Schroeder to Executive Vice President and Head of Enforcement. In addition, FINRA plans to consolidate its existing enforcement functions into a new, unified enforcement group led by Schroeder. This consolidation is a result of FINRA360, the organization’s ongoing comprehensive self-evaluation and improvement […]
The Compliance Podcast Network – Compliance Report
Back in 2011, over a with dinner Howard Sklar, we talked about commentary on the FCPA and in the greater compliance community. That conversation led us to begin the original This Week in FCPA podcast. Howard later went off to the corporate world but I continued our podcasting tradition founding the FCPA Compliance Report in […]
Aug. 10 Webcast: Building the Fifth Pillar of an Effective Anti-Money Laundering Compliance Program
Please join Alma Angotti, Daniel L. Stipano, John Davidson, Valerie-Leila Jaber and Myrna Olvera for this free webcast.
DOL Rule Opens More FAs to Negligence Claims — Financial Advisor IQ
Whether you work in an RIA, or, since June 9, in a broker-dealer held to the Department of Labor’s fiduciary rule, you face heightened scrutiny for negligence compared with other wealth managers. The upshot? You could be guilty of negligence without even knowing it. Earlier this year Joseph Brenner, chief counsel of the SEC’s enforcement […]
DLA Piper Hit by Cyber Attack, Phones and Computers Down Across the Firm | Legaltech News
DLA Piper has been hit by a major cyber attack, which has knocked out phones and computers across the firm. The shutdown appears to have been caused by a ransomware attack, similar to the WannaCry attack that hit organizations such as the NHS last month. DLA’s phone system has not been working for much of […]
Criticism Mounts on Madoff Compensation Fund – WSJ
The Justice Department is coming under criticism over a $4 billion compensation fund for Bernard Madoff’s victims that hasn’t handed out a cent four years after its creation. In a Justice Department budget hearing this week, Deputy Attorney General Rod Rosenstein told a congressional panel he would “figure out why it’s taking so long” for […]
Internal Audit’s Critical Role in Cybersecurity | AccountingWEB
Organizations must constantly monitor cybersecurity practices, policies, and plans. This is where internal audit plays a crucial role. Once cybersecurity plans are created, organizations should enlist internal audit to do what it does best – test for effectiveness and efficiency of controls and protocols, and provide the board and management with assurance about those protections. […]