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
Merrill Lynch has already staked out the position in response to the DOL’s retirement account fiduciary duty rule that it would no longer offer commission-based IRAs to retirement savers. Yesterday, it effectively doubled...more
San Antonio, Texas based medical device company Acelity LP Inc. is reported to be considering an initial public offering that could raise up to $1 billion, according to the Wall Street Journal. Acelity has reportedly...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
In a lengthy opinion issued yesterday, Justice Kathleen M. Banke explains naked short selling, describes the mechanics of executing and clearing stock trades, describes the SEC’s Regulation SHO, and recounts the SEC’s...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