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Financial Services RegTech and Regulatory Compliance Forum 2018
Clifford E. Kirsch
Banking, Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. Commissioner Hester M. Peirce, U.S. Securities and Exchange Commission, The Why Behind the No: Remarks at the 50th Annual Rocky Mountain Securities Conference (May 11, 2018)
Chapter 2. Carole L. Basri and Irving Kagan, Ch. 11: Corporate Compliance Programs, Practising Law Institute, Corporate Legal Departments: Practicing Law in a Corporation (4th Edition) (October 2016)
Chapter 3. Scott W. Bauguess, Acting Director and Acting Chief Economist, DERA, U.S. Securities and Exchange Commission, Keynote Address, “The Role of Big Data, Machine Learning and AI in Assessing Risks: A Regulatory Perspective,” Remarks before the 19th Annual Operational Risk North America Conference New York, NY (June 21, 2017)
Chapter 4. Compliance Challenges: Regulation SCI, Fintech, Information Technology and Cybersecurity (November 12, 2018)
Chapter 5. Eversheds Sutherland, Legal Alert: It’s a Material World—Why the SEC’s Yahoo! Penalty Really Matters (May 4, 2018)
Chapter 6. Eversheds Sutherland, Legal Alert: The SEC Wants Companies to Talk About Cybersecurity (March 8, 2018)
Chapter 7. John Pruitt, Michael Bahar, Alexander Sand and Tony Ficarrotta, Eversheds Sutherland, Reactions, “Ready to Sign on the Dotted Line?” (November 2017)
Chapter 8. Michael Bahar, Susan Krawczyk, Ben Marzouk, Tony Ficarrotta and Issa Hanna, Eversheds Sutherland, Law 360, “An Emerging Patchwork of Cybersecurity Rules” (August 29, 2017)
Chapter 9. FINRA Report on Conflicts of Interest (October 2013)
Chapter 10. Attorney-Client Privilege in Investigations: Evolving Standards
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