In This Issue:

- “The Upfront Costs of Compliance Are Looking More Like a Bargain Every Day” and “How to Minimise the Risk of Insider Trading and Leaking of Material Information” (October-December), Risk & Compliance

- “Anti-Money Laundering” (September), The Corporate Counselor

- “Perspectives on the SEC’s Decision to Lift the Advertising Ban on Private Investments” (July/August), Financial Fraud Law Report

- “State Insurance Regulators Put Captive Insurance Companies in the Spotlight” (July-September), Risk & Compliance

- VIDEO: DOS AND DON’TS OF COMPLEX SECURITIES ENFORCEMENT CASES

- SIGNIFICANT ENGAGEMENT REVIEW

- David Kotz, “Conducting Internal Investigations on Whistle-blower Claims of Securities Law Violations,” Westlaw Journal Securities Litigation & Regulation 19:3 (June 11)

- David Martin, “The Whistleblower Paradigm: How Companies Can Get in Front of a Crisis,” Corporate Compliance Insights (June 4)

- Jim Conversano, “Proposed Regulation SCI, Finally the Right Balance?” Financier Worldwide’s Risk & Compliance (April–June)

- David Kotz, “It May Be Coming Soon: The Volcker Rule and its Impact on Corporate Compliance,” Corporate Compliance Insights (February 8)

- David Martin, “The Challenges of Protecting Organizational Reputational Risk in a Digital Social Media World,” Corporate Compliance Insights (January 25)

- Please see full newsletter below for more information.

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Topics:  Advertising, Anti-Money Laundering, Captive Insurance Company, Compliance, Corporate Counsel, Insider Trading, Internal Investigations, SEC, Volcker Rule, Whistleblowers

Published In: General Business Updates, Communications & Media Updates, Finance & Banking Updates, Insurance Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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