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Department of Justice (DOJ) › Financial Institutions › Securities Regulation

Thomas Fox - Compliance Evangelist

2 Gurus Talk Compliance: Episode 52 – The Big Jet Plane Edition

Thomas Fox - Compliance Evangelist on

What happens when two top compliance commentators get together? They talk compliance, of course. Join Tom Fox and Kristy Grant-Hart in 2 Gurus Talk Compliance as they discuss the latest compliance issues in this week’s...more

Secretariat

When the Whistle Blows

Secretariat on

The term “whistleblower” generally refers to a person who anonymously reports suspected corporate misconduct to their employer or to law enforcement or regulatory authorities. This article focuses primarily on current...more

Ballard Spahr LLP

Municipal Securities Regulation and Enforcement - 2024 Mid-Year Review

Ballard Spahr LLP on

In the first half of 2024, the Financial Industry Regulatory Authority (FINRA) issued several fines and suspensions against participants in the municipal market, including for violations of its registration, reporting,...more

Goodwin

OCC Seeks Feedback on Principles for Climate-Related Financial Risk Management

Goodwin on

In this Issue. The Office of the Comptroller of the Currency (OCC) is seeking feedback on principles for climate-related financial risk management for large banks; the Department of Justice’s Antitrust Division is seeking...more

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