By Maria Dinzeo | July 18, 2024
Julie Glynn is boomeranging back to FINRA, where she spent seven years as an enforcement attorney before joining the banking giant in 2011.
By Trudy Knockless | Chris O'Malley | July 15, 2024
"It is seldom a lack of rules or policies that causes non-compliance, but an individual's unwillingness to follow them," according to Global Relay's Compliant Communications Report 2024.
By Maydeen Merino | July 15, 2024
The EU says allowing users to buy account verification is counter to industry practice and can give unwarranted credibility to "malicious actors."
By Trudy Knockless | July 3, 2024
It's not far from our mindset as we continue to innovate that a welcoming platform is a guiding principle of development for Nextdoor," said Sophia Contreras Schwartz, general counsel of Nextdoor.
By Maria Dinzeo | July 2, 2024
Respondents to a Clyde & Co. and Winmark Global survey foresee "the competitive advantages from AI being short-lived as early innovations become commoditized over time."
Corporate Counsel | Expert Opinion
By Margot Laporte | July 2, 2024
On June 21, 2024, the U.S. Department of Justice (DOJ) secured a conviction in a first-of-its-kind insider trading prosecution based exclusively on a corporate insider's trades pursuant to a Rule 10b5-1 plan. This article addresses what you need to know.
By Chris O'Malley | July 1, 2024
"The plea deal is a complete slap in the face to the victim families," said Peter Reilly, a Texas A&M law professor who is representing families.
By Caroline Byrne | June 26, 2024
A new category of "transition risk" has emerged involving cases filed against corporate directors over management of climate risks.
By Chris O'Malley | June 25, 2024
"Let's not try to use enforcement to cause folks to pull back and not offer these services. I think that's the challenge," said Robinhood Markets legal chief Dan Gallagher, an SEC commissioner from 2011 to 2015.
By Linda A. Thompson | June 24, 2024
The company is the first to be found in breach of the EU's Digital Markets Act. Regulators said Apple imposes unfair restrictions on developers of applications for its App Store in violation of the law, which is intended to encourage competition in the tech industry.
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