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
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
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
In This Issue: *Financial Industry Developments - SEC Extends Exemptions for Security-Based Swaps - Fed Announces Release Dates for Results of Supervisory Stress Tests and CCAR - Rating Agency Developments...more