How Would You Rate Your Pandemic Risk Assessment & Testing Program?
As the magnitude of the measures being taken to mitigate the spread of COVID-19 began to shake finan...
SEC Expands Scope of Examinations to Include COVID-19
SEC Expands Scope of Examinations to Include COVID-19 (PDF)...
The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting, Part 2
The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting, Part 2 (PDF)...
D&O Liability Insurance Considerations for Financial Institutions
PRACTICE NOTE: D&O Liability Insurance Considerations for Financial Institutions (PDF)...
Prospects for Self-Reporting: The SEC’s Share Class Selection Disclosure Initiative, Part 1
Prospects for Self-Reporting: The SEC’s Share Class Selection Disclosure Initiative, Part 1 (PDF)...
Tips for SEC Exam Preparedness
Read SEC Exam Tips in PDF Format Before the SEC comes in: Disclosure, Disclosure, Disclosure. Make s...
President Janaya Moscony Interviewed by Julie DiMauro – Thomson Reuters
This January, Janaya Moscony, president of SEC3, was interviewed by Julie DiMauro – Thomson Re...
Commentary: How Compliance Officers & Firms Can Help Limit CCO Personal Liability
This article originally appeared on the Thomson Reuters Regulatory Intelligence subscription service...
Liability and Outsourcing – Identifying and Controlling the Real Risks Part 2 of 2: Choosing a CCO
The roles and responsibilities undertaken by Chief Compliance Officers (“CCOs”), whether...