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Momentum Grows for Small Companies & Capital Markets
The SEC is exploring new ways to fulfill its mission to facilitate capital formation for small- and medium-sized companies. While uncertainty still surrounds capital formation efforts included in the JOBS Act, momentum is growing to revisit the SEC’s traditional definition of an accredited investor, and to create new “venture exchanges” ...
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PremiumAssessing the impact of the DOJ’s monitorship policy six months in
It has been nearly six months now since the Department of Justice’s (DOJ) Criminal Division released its memorandum on the selection of compliance monitors. This article provides a critical analysis of the monitorships that received early terminations, those that remain in place, and the broader compliance lessons they impart.
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ArticleOCC drops $10M fine against former Wells Fargo risk officer fingered in “fake accounts” scandal
A former Wells Fargo risk officer previously ordered to pay $10 million by the Department of the Treasury’s Office of the Comptroller of the Currency (OCC) for her alleged role in the bank’s “fake accounts” scandal is completely off the hook, according to an OCC consent order issued Tuesday.