News & Analysis as of

Money Laundering Conflicts of Interest

Guidepost Solutions LLC

Investment Advisers and Generative AI

Start Planning Now to Reduce Your Increased Money Laundering, Sanctions, and Conflicts of Interest Risks The introduction and use of generative artificial intelligence (GenAI) and predictive data analytics (PDAs) by...more

The Volkov Law Group

Rockwell Automation Executives Arrested for Fraudulent Scheme

The Volkov Law Group on

Little problems can become big ones.  A failure to respond to a risk – whether it is a conflict of interest violation or a weakness in internal controls – can become even more significant depending on the size and scope of...more

Kramer Levin Naftalis & Frankel LLP

OCIE Releases 2020 Examination Priorities

The Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) published its 2020 Examination Priorities, an annual publication that enhances transparency and provides insights into...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

Quite a start to the week for consulting powerhouse McKinsey & Co., with a Times expose on the questionable relationship between McKinsey’s clients and the investments its hedge fund has made in those same clients, not to...more

Dechert LLP

New York Attorney General Releases Virtual Markets Integrity Report

Dechert LLP on

The New York Attorney General released a report on September 18, 2018 on the results of the Virtual Markets Integrity Initiative, which was launched earlier in the year by the New York State Office of the Attorney General...more

Dorsey & Whitney LLP

Dorsey Anti-Corruption Digest - September 2017

Dorsey & Whitney LLP on

Keeping ahead of global anti-corruption trends is critical in today’s business markets. The Dorsey Anti-Corruption Digest, which puts global trends at your fingertips, puts you ahead. The deep experience of the Dorsey...more

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