The SEC Wednesday charged a chief compliance officer and two broker dealers with failing to file Suspicious Activity Reports after red flags came up for the sale of 12.5 billion shares of penny stocks.… Continue Reading
The prior post provided an overview of chops in China. This post focuses more specifically on how chops can be misused and how that risk can be mitigated.
We have seen numerous incidents where an unauthorized individual (e.g.,… Continue Reading
In less than two weeks the new General Data Protection Regulations (GDPR) will be in full force. Most companies subject to the GDPR have prioritized efforts to implement necessary internal safeguard measures, procedures and required contractual provisions.… Continue Reading