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FinTech Whistleblowers Enforcement Actions

Thomas Fox - Compliance Evangelist

2 Gurus Talk Compliance: Episode 49 - The Depression Episode

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

Patterson Belknap Webb & Tyler LLP

Takeaways from the SEC Division of Enforcement’s FY 2021 Report and Predictions for FY 2022

On November 18, 2021, the Securities and Exchange Commission (the “Commission”) released its Enforcement Results for fiscal year (“FY”) 2021, which spans from October 1, 2020 to September 30, 2021.  The Commission published...more

Winstead PC

What to Expect from the SEC Under the Biden Administration

Winstead PC on

The dust has settled on the 2020 election, and the Biden administration has begun pressing forward with its policy objectives. Critical to achieving such objectives is the Democrats’ control of both the House of...more

A&O Shearman

Financial Regulatory Developments Focus - November 2018 #4

A&O Shearman on

In this week’s newsletter, we provide a snapshot of the principal U.S., European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

King & Spalding

Washington Insight - September 2016

King & Spalding on

House Financial Services Committee Votes To Repeal And Replace Dodd-Frank - On September 13th, the House Financial Services Committee approved the Financial CHOICE Act of 2016 to repeal and replace key parts of the 2010...more

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