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Auditors Disciplinary Proceedings

King & Spalding

US/UK Investigations Comparative Note

King & Spalding on

King & Spalding’s April Client Alert provided an overview of and practical advice related to issues that an employer should consider before conducting an internal investigation in the United Kingdom: privilege, privacy,...more

Faegre Drinker Biddle & Reath LLP

An Imperfect Storm(s): FINRA Bars Compliance Personnel for Falsifying Branch Audit Data

It often is said that “it’s not the crime, but the cover-up” that is the most damaging to someone alleged to have committed misconduct. In a recent FINRA enforcement action, however, the cover-up was the crime. On July 3,...more

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