Compliance

Volcker Rules To Be Tougher Than Expected, Treasury Secretary Warns

The Treasury Secretary warned banking execs that the final Volcker rule limits on proprietary trading are likely to be tougher than Wall Street expects, according […]

The Why And How Of “Shareholder Engagement”

Increased shareholder activism is an international trend. This article discusses potential benefits and complexities of the board-shareholder engagement process in the U.S. and several other […]

Oil Industry May Argue Export Limits Violate Internat’l Trade Rules

The U.S. oil industry may invoke international trade rules in challenging restrictions on crude exports. The restrictions have been in place since the 1970s, and […]

Three Common Data Breach Mistakes Companies Make

Corporate investigations into data breaches or fraud incidents will likely be examined after-the-fact by a regulator or in connection with potential litigation, and that makes […]

FCC Reopening Sports Blackout Rules, To NFL’s Dismay

The FCC plans to re-examine its sports blackout rule, giving cable and satellite networks the chance to fight the NFL and broadcasters for the right […]

Scheindlin Orders Bank To Turn Over Confidential Documents

The name Shira Scheindlin, judge in U.S. District Court for the Southern District of New York, is familiar to many corporate practitioners as the author […]

Telemarketer Lawsuits Likely To Surge Under New FCC Regs

Lawsuits against telemarketers are expected to skyrocket as new restrictions under the Telephone Consumer Protection Act go into effect. Under rules that began in October, […]

Compliance Training Can’t Skip C-Suite

Senior executives and board members are often overlooked when it comes to corporate compliance training, but that is a potentially costly error, according to attorney […]

No Retaliation Protection For Overseas Whistleblowers

Two recent district court decisions may curtail SEC whistleblower reports that emanate from sources outside the United States. Both decisions, one in Texas and one […]

Is The SEC Enabling Investment Fraud?

Investor advocates are concerned about the SEC’s approval last week of crowdfunding rules, as well as its decision in July to allow hedge funds and […]