Search for: "Bruce Dodd"
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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]
30 Jul 2014, 6:14 am
Sources: Meet the SEC’s 6,500 Whistleblowers by Mawwell Murphy in the Wall Street Journal FOIA Response Sheds Light on Backgrounds of SEC Whistleblowers by Bruce Carton in Compliance Week 2013 Annual Report on the Dodd-Frank Whistleblower Program How Well is the SEC’s Whistleblower Program Working? [read post]
27 Apr 2018, 6:03 am
Although Dodd-Frank did not except small banks from the clearing requirement, it specifically invited the CFTC to do so. [read post]
9 Dec 2015, 6:35 am
Bruce Poliquin (R-Me) said the review suggests that FSOC does not believe that the SEC is providing adequate oversight, a role that it has held for 75 years. [read post]
19 Oct 2012, 2:00 am
1) DealBook: Despite Its Problems, Dodd-Frank Is Better Than the Alternatives - In this election year there has been a lot of talk of doing away with Dodd-Frank in pieces or in its entirety. [read post]
9 Mar 2015, 7:38 am
The 2010 Dodd-Frank financial-reform bill granted a financial incentive for whistleblowers. [read post]
24 Feb 2012, 7:10 am
Martens, Chief Litigation Counsel; Bruce Karpati, Co-Chief, Asset Management Unit; and Sean McKessy, Chief, Office of the Whistleblower. [read post]
2 Mar 2018, 6:09 am
The Supreme Court and the Scope of Whistleblowing Anti-retaliation Protections Posted by Cydney Posner, Cooley LLP, on Friday, February 23, 2018 Tags: Disclosure, Dodd-Frank Act, Exchange Act, Misconduct, Rule 21F-2, Sarbanes–Oxley Act, SEC, Securities regulation, Supreme Court, U.S. federal courts, Whistleblowers Public Company Cybersecurity Disclosures Posted by Kara M. [read post]
13 May 2011, 5:00 am
The SEC Remains Behind the Times on Social Media by Bruce Carton in Securities Docket The Securities and Exchange Commission continues to dip its toe into the social media waters, but it’s doing so in such a cautious, disjointed way that it undermines the usefulness of powerful online communication tools. [read post]
28 Dec 2015, 3:46 am
In response, I received this note from Downey Brand’s Bruce Dravis: Thanks for flagging new articles on the share buybacks. [read post]
8 Dec 2014, 9:17 am
As support for its position, AFSA cites to Justice Breyer’s observation in Allied-Bruce Terminix Cos. v. [read post]
4 Nov 2011, 5:00 am
Ryan in CFO Even as the SEC pleads for more resources from Congress to keep up with existing responsibilities and the mind-boggling array of new regulatory burdens dumped upon it by last year’s Dodd-Frank financial reform act, the agency reportedly intends to expand its enforcement reach. [read post]
15 Mar 2012, 4:02 am
" The Latest in GRC Software In this podcast, John Banas and Bruce Olcott of MyComplianceManager provide some insight into how software can make GRC compliance easier, including: - What are the biggest trends you're seeing in GRC over the past few years? [read post]
17 Jun 2022, 6:27 am
Practical Stake Posted by Bruce F. [read post]
17 Jun 2022, 6:27 am
Practical Stake Posted by Bruce F. [read post]
5 Aug 2010, 12:36 pm
Ogletree Deakins Gets It Right[By: Bruce W. [read post]
9 Jan 2015, 5:00 am
SEC Fights ‘Pre-taliation’ Against Dodd-Frank Whistleblowers by Bruce Carton in Compliance Week According to whistleblower lawyer Erika Kelton, companies that fear Dodd-Frank whistleblower programs are aggressively trying to squash potential tips to the SEC through a practice the agency has dubbed “pre-taliation. [read post]
8 Sep 2010, 5:00 am
” Dodd-Frank Wall Street Reform and Consumer Protection (Dodd-Frank) Act, Pub. [read post]
6 Apr 2011, 5:00 am
He managed to get Bruce Karpati, the co-head of the SEC’s Asset Management unit, to participate. [read post]
22 Oct 2012, 1:36 am
"The analytics put Yorkville front and center on our radar screen,” said Bruce Karpati, Chief of the SEC Enforcement Division’s Asset Management Unit. [read post]
