SEC Publishes Risk Alert on Top 5 Investment Adviser Compliance Issues Found During Exams
On February 7, the Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities…
Browsing: SEC Regulation
Takeaways from the 2017 SEC Examination Priorities Letter
The Office of Compliance Inspections and Examinations (“OCIE”) at the Securities and Exchange Commission (“SEC”)…
Political Corruption: Afflicting America and Affairs Abroad
The Fordham Journal of Corporate and Financial Law held its annual symposium titled, “Political Corruption:…
Cell Phone Forensics: Powerful Tools Wielded By Federal Investigators
Cellular phone forensics company Cellebrite recently gained national notoriety for its rumored assistance in cracking…
An Overview of the SEC’s Whistleblower Award Program
In 2010, Congress enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act in response…
Daniel M. Gallagher Keynote Speech, Symposium 2015
Are we ready for the next financial crisis? According to Daniel Gallagher, absolutely not. Gallagher…
Deal or No Deal
While it stretches the bounds of imagination to think of Mary Jo White as bald…