USA - September 22 2020
The Evaluation of Corporate Compliance Programs provides guidance to prosecutors conducting an investigation of a corporation and determining whether...
Daniel G. Strickland, Andrea L. Gordon, Sarah E. Paul, Emily M. Rosenblum.
USA - March 16 2020
On March 13, 2020, the Securities and Exchange Commission (SEC) issued a temporary order (the Order)1 providing conditional exemptive relief to...
Ben Marzouk, Issa J. Hanna, Eric A. Arnold, Bria M. Adams, Nicholas J. Rinaldi, Alexa R. Shockley, Holly H. Smith, John H. Walsh, Michael B. Koffler, Susan S. Krawczyk.
USA - February 20 2020
In this Bottom Line videocast, Issa Hanna and Pooja Kohli discuss what to expect in 2020 on standard of conduct developments for broker-dealers and...
Issa J. Hanna.
USA - February 18 2020
Recently, the U.S. Securities and Exchange Commission (SEC) issued an Investor Alert (the Alert) warning investors to use caution before investing in...
Ben Marzouk, Issa J. Hanna, Eric A. Arnold, Bria M. Adams, Nicholas J. Rinaldi, Alexa R. Shockley, Holly H. Smith, John H. Walsh, Clifford E. Kirsch, Michael B. Koffler, Susan S. Krawczyk.
USA - February 14 2020
On February 10, 2020, the California Attorney General published revisions to the proposed regulations (Revised Regulations) to implement the...
Alexander F. L. Sand, Michael Bahar, Mary Jane Wilson-Bilik.