Guidepost in Motion EP24: State of Compliance with Alixandra Smith Part 1
12 O'Clock High, a podcast on business leadership-Goldman Sachs, 100+ Hour Work Weeks and Millennials
FCPA Compliance Report- Eric Young on Fed & DFS Components of the Goldman Sachs Enforcement
Compliance into the Weeds: The Goldman Sachs FCPA Enforcement Action
Everything Compliance-Emergency Video Podcast on the Goldman Sachs FCPA Settlement
Daily Compliance News: July 25, 2020-the Goldman Settles edition
12 O'Clock High, a podcast on business leadership-Business Leadership Failures from 2019-Goldman Sachs
Top Five Corporate Scandals of 2018: Episode II-1MDB and Goldman Sachs
Weekly Brief: Rakoff Orders Gupta To Pay Goldman Sachs' Legal Fees
The saga of Theranos whistleblower Tyler Shultz, grandson of former Secretary of State (and Theranos director) George Shultz, who faced threats, a familial rift, and a boat-load of legal fees as he tried to expose Theranos’...more
SEC to Permit Capital Raising Through Crowdfunding: The Securities and Exchange Commission finalized rules that will permit eligible companies to raise money through Internet offerings of their securities—a practice known as...more
China Regulator Issues Final Interim Measures Governing Overseas Access to Its Futures Markets - The China Securities Regulatory Commission issued final interim measures to permit trading by overseas investors on...more
NYDFS Issues BitLicense Framework for Regulating Virtual Currency Firms - The New York State Department of Financial Services issued final regulations requiring a so-called “BitLicense” and establishing minimum...more
CFTC Staff Authorizes University to Offer Election and Economic Indicator Binary Options Without Registration as an Execution Facility: The Division of Market Oversight of the Commodity Futures Trading Commission...more
In a holiday shortened week, dark pools were again a focus for regulators. This week FINRA sanctioned Goldman Sachs in connection with the operation of its dark pool....more