On Her Shoulders Podcast Season 2, Episode 3: Every Voice Deserves to be Heard (w/ Casey Clark and Julie Fogh)
Law School Toolbox Podcast Episode 269: Improving Communication When Wearing a Mask (w/Cathlyn Melvin)
In a 30-day period, the U.S. Securities and Exchange Commission (“SEC”) has released guidance in three ways regarding certain views on the important role and potential liability risks of chief compliance officers (“CCOs”)....more
The Commodity Futures Trading Commission issued revised guidance for mandatory chief compliance officer annual compliance reports for futures commission merchants and swap dealers. However, the proposed recommendations are...more
On December 17, 2012, the Commodity Futures Trading Commission (CFTC) adopted final rules amending CFTC Regulations 1.31 and 1.35. The final rules require certain market participants to record oral communications that lead to...more