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Sep 18, 2024 | 
jdsupra.com | Ana Blanco |Celia Cohen |Charles Frohman
SummaryThe Securities and Exchange Commission (SEC) continues to investigate companies for including language in their employment and separation agreements or retail client settlement agreements that potentially discourages whistleblowers from reporting issues to authorities outside the company. The SEC announced this week that it settled charges against seven public companies spanning several industries, including health care and software, for more than $3 million in combined civil penalties.
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Sep 16, 2024 | 
jdsupra.com | Celia Cohen |Charles Frohman |Michael P. Robotti
[co-author: Ana María Blanco]The SEC has begun to bring enforcement actions against companies whose employment and client agreements could appear to infringe on the right to report cases in violation of Section 21f-17(a) of the Exchange Act.
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May 8, 2024 | 
jdsupra.com | Celia Cohen |Peter Hardy |Kelly A. Lenahan-Pfahlert
On May 3, 2024, the Board of Governors of the Federal Reserve System (the “Federal Reserve”), the Federal Deposit Insurance Corporation (“FDIC”), and the Office of the Comptroller of the Currency (“OCC”) jointly released the “Third-Party Risk Management: A Guide for Community Banks” (the “Guide”), presenting it as a resource for community banks to bolster their third-party risk management programs, policies, and practices.
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Jan 4, 2024 | 
law360.com | Michael P. Robotti |Celia Cohen |Nathaniel Botwinick
ADVERTISEMENT Don't want ads? Subscribe or login now. By Michael Robotti, Celia Cohen and Nathaniel Botwinick (January 4, 2024, 4:48 PM EST) -- What is a security? That was the question of 2023. The U.S. Securities and Exchange Commision has argued that it's simple: Just apply the three-part Howey test — orange groves or crypto-assets, it's all the same to the SEC.[1]...
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Jan 4, 2024 | 
ballardspahr.com | Michael P. Robotti |Celia Cohen |Nathaniel Botwinick
What is a security? That was the question of 2023. If this past year has taught us anything about digital assets, it is that the determination of whether the securities laws apply to digital assets is anything but simple. Read the full article here.
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Jan 3, 2024 | 
lexblog.com | Peter Hardy |Celia Cohen |Terence M. Grugan |Beth Moskow-Schnoll
[email protected] | 215.864.8838 | view full bioPeter is a national thought leader on money laundering, tax fraud, and other financial crime. He is the author of Criminal Tax, Money Laundering, and Bank Secrecy Act Litigation, a comprehensive legal treatise published by Bloomberg BNA.
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Jan 3, 2024 | 
moneylaunderingnews.com | Peter Hardy |Celia Cohen |Terence M. Grugan |Beth Moskow-Schnoll
Farewell to 2023, and welcome 2024. As we do every year, let’s look back.
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Dec 15, 2023 | 
jdsupra.com | Celia Cohen |Peter Hardy |Ronald K. Vaske
In its Fall 2023 Semiannual Risk Perspective, published on December 7, the Office of the Comptroller of the Currency (“OCC”) reported on key issues facing the federal banking system. In evaluating the overall soundness of the federal banking system, the OCC emphasized the need for banks to maintain prudent risk management practices. The key risk themes that the OCC underscored in the report included credit, market, operational, and compliance risks.
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Dec 14, 2023 | 
lexblog.com | Celia Cohen |Ronald K. Vaske |Peter Hardy
In its Fall 2023 Semiannual Risk Perspective, published on December 7, the Office of the Comptroller of the Currency (“OCC”) reported on key issues facing the federal banking system. In evaluating the overall soundness of the federal banking system, the OCC emphasized the need for banks to maintain prudent risk management practices. The key risk themes that the OCC underscored in the report included credit, market, operational, and compliance risks.
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Oct 2, 2023 | 
law.com | Celia Cohen |Nathaniel Botwinick
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