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10 Oct 2014, 5:00 am
Whistleblowers Fight Over SEC Award by Jill Radloff in Dodd-Frank.com In a case filed in the United States District Court for the Northern District of Illinois, Eastern Division, the plaintiff claims three persons collaborated to develop evidence for a whistleblower claim. [read post]
21 Jan 2011, 11:31 am
Bruce Carton explains how denying crucial funds to the already cash-strapped agencies tasked with implementing Dodd-Frank is stopping implementation in its tracks. [read post]
6 Aug 2010, 5:00 am
Here are some ways to botch the effort to become a leader: … Changes in Securities Enforcement Thanks to Dodd-Frank by Bruce Carton in Securities Docket Only a portion of the Dodd-Frank Act is directed at enforcement of securities laws by the Securities and Exchange Commission. [read post]
31 May 2013, 7:57 am
As you are aware, the Dodd-Frank Act transferred oversight of mid-sized investment advisers from the SEC to the States. [read post]
31 May 2013, 7:57 am
As you are aware, the Dodd-Frank Act transferred oversight of mid-sized investment advisers from the SEC to the States. [read post]
15 May 2007, 7:26 am
I will be moderating the conversation, with Bill Freihofer and Timothy Dodd sharing thoughts and views on the Surrogate Attorney Rule.Here is a link to info about the Conference. [read post]
17 Oct 2014, 5:00 am
Morley in the HLS Forum on Corporate Governance and Financial Regulation Two recent Dodd-Frank whistleblower awards suggest that the program is becoming the kind of “game changer” for law enforcement that many had predicted. [read post]
11 Oct 2007, 9:42 am
by Bruce Cain THE HAYES LAW FIRM, P.C., 1235 North Loop West, Suite 510, Houston, Texas 77008. www.dhayeslaw.com, Tel:713-862-2152, or 1-866-332-3567, toll free Earlier this week, the United States Supreme Court began hearing oral arguments which could severely impact the rights of investors. [read post]
6 Jul 2012, 6:35 am
"How investing in compliance programs can mitigate risk," Bruce Reinhart for Smart Business Magazine from McDonald Hopkins The Impact Of Twombly & Iqbal In Products Cases from Epstein Becker & Green Is Skype HIPAA-Compliant? [read post]
22 Sep 2016, 4:42 pm
Here is Bruce’s guest post. [read post]
5 Jan 2012, 8:57 am
Architzel and Bruce B. [read post]
8 Sep 2010, 1:44 am
" Dodd-Frank's Effect on Non-U.S. [read post]
2 Jul 2015, 5:46 am
What Do Rating Agencies Think about “Too-Big-to-Fail” Since Dodd-Frank? [read post]
24 Jan 2013, 8:23 am
At that time, one of us (Bruce) was an electronic publisher of Federal court cases and statutes, and the other (Hillmann, herself a former law cataloger) was working with large, aggregated repositories of scientific papers as part of the National Sciences Digital Library project. [read post]
3 Dec 2010, 5:00 am
To get the most out of your fraud investigation interviews, remember these 5 important steps: … Budget Forces SEC to Shelve Whistleblower Office, For Now by Bruce Carton In October, an 18% budget increase that the SEC was supposed to receive under Dodd-Frank was not included in a stopgap spending bill to fund government operations through early December. [read post]
4 Mar 2016, 6:00 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, March 4, 2016 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of February 26, 2016 to March 3, 2016. 2015 CPA-Zicklin Index of Corporate Political Disclosure Posted by Bruce F. [read post]
5 Jan 2012, 9:06 am
Christian Bruce The Federal Reserve Board Dec. 20 asked for comment by March 31 on a tougher set of regulatory standards for financial firms critical to the well-being of the financial system, leaving some specific items, such as a special risk-based surcharge, to be addressed in follow-up proposals. [read post]
7 Nov 2014, 4:00 am
Gallagher: Dodd-Frank Has SEC ‘Shoveling Manure’ for ‘No Discernible Purpose’ by Bruce Carton in Compliance Week In his latest attack on the law he recently called “Dodd-Frankenstein,” SEC Commissioner Daniel S. [read post]
12 Apr 2013, 5:00 am
Hedge Fund Survey Shows Misconduct Believed to be Widespread by Bruce Carton in Compliance Week A recent survey of hedge fund professionals indicates that misconduct is widespread in the industry, and that a very large percentage of professionals in the industry are prepared to report wrongdoing under a program such as the SEC’s new whistleblower program under Dodd-Frank. [read post]
12 Apr 2013, 5:00 am
Hedge Fund Survey Shows Misconduct Believed to be Widespread by Bruce Carton in Compliance Week A recent survey of hedge fund professionals indicates that misconduct is widespread in the industry, and that a very large percentage of professionals in the industry are prepared to report wrongdoing under a program such as the SEC’s new whistleblower program under Dodd-Frank. [read post]
