SEC News - Five Year Enforcement Limitation, FCPA Charges for Foreign Nationals, More...
Should Wall Street Fear Mary Jo White?
Learning Points from the International Conference of Data Protection & Privacy Commissioners
* Non-Enforcement Matters:
- Legislation Reintroduced to Charge Investment Advisor User Fees
- SEC Examination Program for Newly Registered Investment Advisers Reveals Common Areas of Concern
In This Issue:
- FEDERAL ISSUES
- STATE ISSUES
- FIRM NEWS
- FIRM PUBLICATIONS
- CONSUMER FINANCE
- PRIVACY/DATA SECURITY
On November 27th, the SEC charged four Indian financial services firms with acting as unregistered broker-dealers in the United States....more
In August 2012, the Occupational Safety & Health Administration (OSHA) issued a memorandum to all regional administrators within the agency setting out criteria for removing employers from the Severe Violator Enforcement...more
The Equal Employment Opportunity Commission’s (EEOC) investigation and litigation tactics have been a hot topic lately, as the agency recently announced its plan to target more employers in bigger, more costly systemic...more
Under the Obama administration, the Wage and Hour Division (WHD) of the U.S. Department of Labor (DOL) has become re-energized and is the most active it has been for many years. While the WHD still lacks a permanent...more
The long, hot pre-election season is in full swing in Washington, D.C., and to state the obvious, the economy is front and center. As a result, members of both parties have been talking about how burdensome regulations hurt...more
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