FCPA Compliance and Ethics Report-Episode 173-Adam Turteltaub on upcoming SCCE events
How to Form an Effective CSIRT
FCPA Compliance and Ethics Report-Episode 160-Compliance Week 2015 Wrap Up with Mike Volkov and Jay Rosen
What is the Current State of Anti-Bribery Compliance & Enforcement in Australia?
Special Report: The Hot-ish Swag at LegalTech New York 2015
2014 Construction SuperConference Recap and Lessons for 2015
FCPA Compliance and Ethics Report-Episode 102-interview with Bruce Carton
Members of our Investment Management team attended the Investment Management Conference hosted by the Investment Company Institute last month, one of the marquee gatherings for investment management professionals, board...more
The SEC, in conjunction with the Colorado Bar Association and Colorado Society of Certified Public Accountants, recently sponsored the 51st Annual Rocky Mountain Securities Conference featuring SEC officials and corporate...more
Always a fertile source of regulatory perspective, this year’s Baruch College Financial Reporting Conference featured a future-oriented theme in remarks by Chief Accountant of the Securities and Exchange Commission Wesley...more
Speaking at the American Law Institute’s Conference on Accountants’ Liability in September, Andrew Ceresney, Director of the Division of Enforcement of the Securities and Exchange Commission, reviewed in detail the SEC’s...more
Senior members of the Division of Corporation Finance (“Corp Fin”) of the U.S. Securities and Exchange Commission (SEC) gathered with two former SEC commissioners at the Practising Law Institute’s annual “SEC Speaks”...more
On October 27, 2015, the Equity Market Structure Advisory Committee (EMSAC or Committee) held its second meeting at the Securities and Exchange Commission (Commission or SEC) in Washington DC. The Committee is considering...more
As 2015 draws to a close (where did the time go?), the 2016 planning season is in full swing. You likely already have an idea of initiatives you’ll want to tackle, but taking your ethics and compliance program to the next...more
On May 12, the SEC and FINRA announced the opening of registration for their 2015 National Compliance Outreach Program for Broker-Dealers. The program is intended to provide an open forum for regulators and industry...more
I am attending the SCCE Utilities and Energy Conference in Houston this week. As usual, the SCCE has put on a great event for the compliance practitioner. This year there is live blogging by Kortney Nordum so there should be...more
From November 18 to 19, 2014, the American Conference Institute held its annual U.S. Foreign Corrupt Practices Act (FCPA) conference outside of Washington, D.C. Keynote speakers including U.S. Department of Justice (DOJ)...more
In this interview I visit with Bruce Carton, founder and editor of Securities Docket. We discuss the recently concluded 2014 Securities Enforcement Forum; its panels, discussions and vibe. ...more
For Halloween last year, I wrote a blog post where I derided Linus and his forlorn quest to have his pumpkin patch named the most sincere by the Great Pumpkin. In response I received this rather terse message from my...more
Marshall Miller, the Justice Department’s principal Deputy Assistant Attorney General for the Criminal Division, has been heating up the compliance conference circuit in recent weeks. On September 17th, it was the Global...more
Yesterday, I blogged from the Securities Enforcement Forum 2014, Bruce Carton’s excellent one-day conference, this year held at the Four Seasons hotel in Washington, D.C. The posts will be fairly raw, and certainly not...more
A few days ago, Corp Fin director, Keith Higgins, gave a speech, “Shaping Company Disclosure for the 21st Century” before the George A. Leet Business Law Symposium at Case Western Reserve University School of Law, in which he...more
Central Florida is home to a thriving entrepreneurial community that increasingly benefits from crowdfunding. This trend, and crowdfunding’s evolving forms, including equity crowdfunding, will be among the topics discussed...more