170 records matched your query
04189aam a2200385 a 4500 001 0E9C3320ED3011E78644BA0B97128E48 003 SILO 005 20171230010220 008 121114t20122012nyuac b 001 0 eng 020 $a 1402418825 020 $a 9781402418822 035 $a (OCoLC)817930532 040 $a CGQ $c CGQ $d PQD $d OCLCO $d IaU-L $d UtOrBLW $d SILO 043 $a n-us--- $0 http://id.loc.gov/vocabulary/geographicAreas/n-us 245 00 $a Financial services industry regulatory compliance & ethics forum 2012 / $c chair, Clifford E. Kirsch. 264 1 $a New York, NY : $b Practising Law Institute, $c [2012] 300 $a 244 pages : $b illustrations, portraits ; $c 23 cm. 490 1 $a Corporate law and practice course handbook series ; $v no. B-1984 500 $a "#34595"--Spine ; "B1984"--Spine. 500 $a "Prepared for distribution at the Financial Services Industry Regulatory Compliance & Ethics Forum 2012 Program, November 1, 2012"--P.5 504 $a Includes bibliographical references and index. 505 20 $t What to Do When You Receive a Dodd Frank FCPA Whistleblower Letter: Practical First Steps / $r Sharie A. Brown DLA Piper $t Basel Committee on Banking Supervision: Compliance and the Compliance Function in Banks / $r Kathryn S. Reimann Managing Director and Chief Compliance Officer, Global Consumer, Citibank N.A. and Citi Holdings, Citi -- $t Basel Committee on Banking Supervision: Principles for the Sound Management of Operational Risk / $r Kathryn S. Reimann Managing Director and Chief Compliance Officer, Global Consumer, Citibank N.A. and Citi Holdings, Citi -- $t Board of Governors of the Federal Reserve System Supervisory Letter SR 08 8/ CA 08 11; Re: Compliance Risk Management Programs and Oversight at Large Banking Organizations with Complex Compliance Profiles / $r Kathryn S. Reimann Managing Director and Chief Compliance Officer, Global Consumer, Citibank N.A. and Citi Holdings, Citi -- $t Safeguarding Customer Information and Privacy / $r Tanya L. Forsheit InfoLawGroup LLP -- $t Money Laundering: A Primer / $r Sung Hee Suh Schulte Roth & Zabel LLP -- $t Corporate Political Activities: Pay to Play, Campaign Finance, Lobbying, and Gift Laws / $r Ki P. Hong Skadden, Arps, Slate, Meagher & Flom LLP -- $t The SEC's Whistleblower Program / $r Lawrence A. West Partner, Latham & Watkins LLP Stephen P. Wink Latham & Watkins LLP -- $t Federal Court Bars Extraterritorial Application of Dodd Frank's Anti Retaliation Provision to Whistleblowers Employed Abroad / $r Cynthia M. Krus Sutherland Holly H. Smith Sutherland Asbill & Brennan LLP Allegra J. Lawrence Hardy Sutherland Asbill & Brennan LLP -- $t Federal Courts Split on Whether Dodd Frank's Bar on Arbitration of Whistleblower Retaliation Claims Under Sarbanes Oxley Is Retroactive / $r Cynthia M. Krus Sutherland Holly H. Smith Sutherland Asbill & Brennan LLP Allegra J. Lawrence Hardy Sutherland Asbill & Brennan LLP -- $t What to Do When You Receive a Dodd Frank FCPA Whistleblower Letter: Practical First Steps / $r Sharie A. Brown DLA Piper 650 0 $a Financial services industry $x Law and legislation $z United States. $0 http://id.loc.gov/authorities/subjects/sh2008103618 650 0 $a Financial services industry $x Government policy $z United States. 650 0 $a Corporate governance $x Law and legislation $z United States. $0 http://id.loc.gov/authorities/subjects/sh2008101140 650 0 $a Business ethics $z United States. $0 http://id.loc.gov/authorities/subjects/sh2007102263 650 0 $a Corporation law $x Criminal provisions $z United States. 610 10 $a United States. $t Dodd-Frank Wall Street Reform and Consumer Protection Act. $0 http://id.loc.gov/authorities/names/no2010151934 610 10 $a United States. $b Securities and Exchange Commission $x Rules and practice. 700 1 $a Kirsch, Clifford E. $0 http://id.loc.gov/authorities/names/n96028333 710 2 $a Practising Law Institute. $0 http://id.loc.gov/authorities/names/n78085422 830 0 $a Corporate law and practice course handbook series ; $v no. B-1984. $0 http://id.loc.gov/authorities/names/n42008339 941 $a 1 952 $l OVUX522 $d 20171230031817.0 956 $a http://locator.silo.lib.ia.us/search.cgi?index_0=id&term_0=0E9C3320ED3011E78644BA0B97128E48Initiate Another SILO Locator Search