News & Analysis as of

Risk Mitigation Dodd-Frank Wall Street Reform and Consumer Protection Act Chief Compliance Officers

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - SEC Decides Against Mounting an Appeal in Koch Ruling - The July 2015 ruling by the D.C. Circuit Court in Koch v. SEC will apparently not be challenged by the SEC. The Court ruled in that...more

Littler

Fleet-Footed Investigations and Prompt Remedial Action: The New Normal

Littler on

Does your company respond to all internal concerns immediately, investigate them thoroughly and remediate them with unmatchable speed? What if the concern comes from an officer, director, lawyer, compliance professional,...more

NAVEX

2015 Trends: #8 Top Whistleblowing Priorities for Compliance Professionals

NAVEX on

Last November, the U.S. Securities and Exchange Commission issued its Annual Report to Congress on the Dodd-Frank Whistleblower Program. It is clear that the program is going strong. Following are five key ways compliance...more

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