On April 7, 2024, the United States District Court for the District of Connecticut approved the Securities and Exchange Commission’s request to dismiss its action against a hedge fund manager for the manager’s alleged failure...more
DOJ Promotes Compliance Through Compensation and Clawback Programs (3.2.2023):
• The DOJ announced corporate criminal resolutions will now include a requirement that companies implement a compensation and bonus scheme...more
3/10/2023
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Bank Fraud ,
CFTC ,
Clawbacks ,
Compensation ,
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Consumer Financial Protection Bureau (CFPB) ,
Cryptocurrency ,
Department of Justice (DOJ) ,
Federal Trade Commission (FTC) ,
Financial Industry Regulatory Authority (FINRA) ,
Insider Trading ,
Securities and Exchange Commission (SEC) ,
Self-Disclosure Requirements