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Dodd-Frank Wall Street Reform and Consumer Protection Act › Chief Compliance Officers

The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and... more +
The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and includes broad reforms related to many aspects of the financial and banking industry. Notable sections of the Act include stricter regulations of the derivatives market, as well as the Volcker Rule, which restricts the trading practices of FDIC-insured institutions.    less -
Kohn, Kohn & Colapinto LLP

Whistleblower Awards for Auditors are Key to Meeting OECD Guidelines

Kohn, Kohn & Colapinto LLP on

According to the Institute of Internal Auditors “Politics of Internal Auditing” (2015), 55% of chief audit executives were directed to commit important findings from their audit reports. 49% of chief audit executives were...more

GeoDataVision

The Coming Perfect Storm

GeoDataVision on

Podcast #69, "The Coming Perfect Storm," features a discussion between Dean and Len Suzio about new regulatory challenges for the banking sector. Len highlights the implications of two key regulations: Section 1071 of the...more

Katten Muchin Rosenman LLP

Copy and Paste: The SEC Adopts Security-Based Swap Execution Facility Rules that Closely Resemble Existing CFTC Swap Execution...

Katten Muchin Rosenman LLP on

After issuing two proposals, the Securities and Exchange Commission (SEC) adopted final rules (Final Rules) to establish its trading regime for security-based swaps (SBS) as required under the Dodd-Frank Wall Street Reform...more

Alston & Bird

SEC Enforcement Director Clarifies Compliance Violation and CCO Liability

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Our Investment Funds and White Collar Teams interpret how the Securities and Exchange Commission approaches its enforcement in three aspects: whistleblower restraints, self-reporting and cooperation, and compliance officer...more

BakerHostetler

New DOJ Policies Tie Employee Compensation to Compliance

BakerHostetler on

On March 15, 2023, the U.S. Department of Justice (DOJ or the Department) launched a three-year Compensation Incentives and Clawbacks Pilot Program (Clawback Program) intended to incentivize companies to create more robust...more

A&O Shearman

SEC Proposes New Large Position Reporting Requirements and Prohibitions on Fraud and Manipulation For Security-Based Swaps

A&O Shearman on

On December 15, the Securities and Exchange Commission (SEC) proposed a series of potentially far-reaching changes to the regulation of the security-based swap (SBS) markets. Among other changes, the proposed rules would...more

NAVEX

Whistleblower Risks at the Supreme Court

NAVEX on

Later this year, the Supreme Court will rule on whether whistleblower protections under the Dodd-Frank Act apply only to people who report misconduct to the Securities and Exchange Commission (SEC). That is, people who report...more

Thomas Fox - Compliance Evangelist

This Week in FCPA-Episode 77, the Home for the Holidays Edition

Thomas Fox - Compliance Evangelist on

Jay and I return for a wide-ranging discussion on some of the top compliance and ethics related stories of the week, including: 1. The DOJ/SEC FCPA Guidance turned 5 years old this week. For the compliance practitioner, it...more

NAVEX

With a New FBI Chief, Compliance Cops Remain on the Beat

NAVEX on

Leaders of organizations across the country might be tempted to view the appointment of Christopher Wray, confirmed as the new head of the FBI on Tuesday, as a sign the new administration plans to ease up on regulating...more

Dechert LLP

SEC Amends Form ADV and Investment Adviser Recordkeeping Rules

Dechert LLP on

The U.S. Securities and Exchange Commission (SEC) recently adopted amendments to Form ADV and to Rule 204-2 (Recordkeeping Rule), as well as technical amendments to other rules under the Investment Advisers Act of 1940...more

Thomas Fox - Compliance Evangelist

Compliance is a Business

Thomas Fox - Compliance Evangelist on

Compliance is a business. That statement should not come as a shock or even a surprise to anyone who has worked in the corporate world. Every part of a business should work towards doing business. Yet many compliance...more

Morrison & Foerster LLP

Next on the SEC regulatory agenda: a chief valuation officer?

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First, the Securities and Exchange Commission required funds to designate a chief compliance officer. Then, the SEC proposed that funds designate a liquidity risk manager, and after that, a derivatives risk manager. Can a...more

WilmerHale

Dodd-Frank Implementation Update: Key Differences Between the CFTC and SEC Final Business Conduct Standards and Related...

WilmerHale on

The Securities and Exchange Commission (SEC) recently adopted final business conduct rules for security-based swap dealers (SBSDs) and major security-based swap participants (MSBSPs) under Section 15F(h) of the Securities...more

Thomas Fox - Compliance Evangelist

Joe Howell on the PCAOB, Audits and Compliance – Part IV

Thomas Fox - Compliance Evangelist on

This week I have been exploring the Public Accounting Oversight Board (PCAOB) with Joe Howell, an Executive Vice President (EVP) with Workiva Inc. We have considered how some of the issues addressed by the PCAOB directly...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume XI, Issue 16

Katten Muchin Rosenman LLP on

SEC/CORPORATE SEC Releases Registration Fee Estimator On April 18, the Securities and Exchange Commission announced the release of an online tool that will assist companies in calculating registration fees relating to...more

Morrison & Foerster LLP

FinCEN Proposes Anti-Money Laundering and Suspicious Reporting Rules for Registered Investment Advisers

Morrison & Foerster LLP on

On August 25, 2015, the US Treasury Department’s Financial Crimes Enforcement Network (FinCEN) proposed rules that would require registered investment advisers to adopt anti-money laundering (AML) programs and report...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

WilmerHale

Second Circuit Allows Whistleblower Retaliation Protection Without Reporting to SEC

WilmerHale on

September 10, 2015, in a 2-1 decision in Berman v. Neo@Ogilvy LLC, the US Court of Appeals for the Second Circuit ruled that whistleblowers who report securities law violations internally but not to the US Securities and...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - Form PF — What Purpose? SEC registered investment advisers with at least $150 million of assets under management in private funds are required to periodically file Form PF with the SEC. The...more

NAVEX

Top Ten Resources for Engaging Your Board in Your Ethics & Compliance Program

NAVEX on

Resources to help you engage your board of directors in the success of your ethics and compliance program. A successful board engagement strategy can help ethics and compliance professionals gain significant program...more

Thomas Fox - Compliance Evangelist

Social Media Week Part VI – Social Media and CCO 3.0

Thomas Fox - Compliance Evangelist on

I conclude this exploration of the uses of social media in doing compliance by exploring why the compliance function is uniquely suited to using social media tools. Long gone are the days when Chief Compliance Officers (CCO)...more

Katten Muchin Rosenman LLP

Bridging the Week - July 2015 #3

Katten Muchin Rosenman LLP on

Et tu, CFE? CBOE Futures Proposes Amended Disruptive Practices Rules and New Related Policies and Procedures: CBOE Futures Exchange became the latest designated contract market to propose specific rules to ban disruptive...more

Thomas Fox - Compliance Evangelist

FCPA Compliance and Ethics Report-Episode 174-Matt Kelly on Dodd-Frank, Uber and Upcoming Compliance Week events

Thomas Fox - Compliance Evangelist on

In this episode I visit with Compliance Week Editor Matt Kelly on how Dodd-Frank is working and affecting financial services, Uber and the recent ruling from the California Labor Board finding one Uber driver an employee and...more

The Volkov Law Group

Washington Politics and Compliance

The Volkov Law Group on

Consider this posting a warning to everyone in the corporate governance field. I am not known for being a chicken little and screaming “the sky is falling, the sky is falling.” I tend to be a realist when it comes to politics...more

Thomas Fox - Compliance Evangelist

King Arthur Week – The Round Table and Compliance Professionals and Lawyers as Whistleblowers – Part III

Thomas Fox - Compliance Evangelist on

Today we use King Arthur’s Round Table as the entry into our topic. The Round Table is the famous table around which he and his Knights congregated. Its shape implies that everyone who sits there has equal status. Wace, who...more

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