» Chamber of Commerce criticizes recent state fiduciary proposals, urges SEC to declare federal preemption
22/05/19 12:00 from Jim Hamilton's World of Securities Regulation

» Thaddeus North and CCO Liability
21/05/19 23:34 from Compliance Building
At a recent event, an official with the Securities and Exchange Commission tried to give some comfort to a room full of compliance officers that the SEC was not trying to saddle compliance officers with potential liability. He pointed us...

» Class action alleges Lyft misled investors in IPO
21/05/19 17:09 from Jim Hamilton's World of Securities Regulation

» Amid a Spate of Activity, COPPA Remains an FTC Enforcement Priority
20/05/19 21:03 from Privacy Law Blog
Bonnie Yeomans, Stephanie Kapinos and Kevin Milewski Earlier this month, the FTC sent a letter to Wildec, LLC, the Ukraine-based maker of several mobile dating apps, alleging that the apps were collecting the personal information and loc...

» CFTC Chairman Giancarlo lets his hair down in first installment of FIA Speaks podcast
20/05/19 12:00 from Jim Hamilton's World of Securities Regulation

» The California Senate is Not Ready to Expand the Consumer Right of Action
17/05/19 20:13 from Privacy Law Blog
Christina Kroll Senate Bill 561’s smooth sail through the California legislature came to an end on Thursday, May 16.  On the eve of the deadline for all fiscal committees to hear and report on the bills introduced in their house, the Sen...

» CCPA: The California Senate is Not Ready to Expand the Consumer Right of Action
17/05/19 20:13 from Privacy Law Blog
Christina Kroll Senate Bill 561’s smooth sail through the California legislature came to an end on Thursday, May 16.  On the eve of the deadline for all fiscal committees to hear and report on the bills introduced in their house, the Sen...

» OCIE head highlights key compliance considerations, potential internal controls enhancements
17/05/19 14:36 from Jim Hamilton's World of Securities Regulation

» Compliance Bricks and Mortar for May 17
17/05/19 10:00 from Compliance Building
These are some of the compliance-related stories that recently caught my attention. Reasonableness Pants Commissioner Hester M. Peirce A strong enforcement program requires us—to draw from the admonition a judge recently gave to us in a ...

» Government enforcement officials highlight priorities, recent developments at PLI conference  
16/05/19 14:04 from Jim Hamilton's World of Securities Regulation

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