"#43252"--Spine ; "B2060"--Spine. "Prepared for distribution at the Financial Services Industry Regulatory Compliance & Ethics Forum 2013, October 30, 2013"--Page 5. Includes bibliographical references and index.
Contents:
Speech by Sec Staff: Remarks at the Compliance Outreach Program, At Sec Headquarters, Washington, D.C., By Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission (January 31, 2012) / Clifford E. Kirsch Sutherland Asbill & Brennan LLP -- National Exam Program: Examination Priorities for 2013, Sec Office of Compliance Inspections and Examinations (February 21, 2013) / Clifford E. Kirsch Sutherland Asbill & Brennan LLP -- Speech: Conflicts of Interest and Risk Governance, At the National Society of Compliance Professionals, By Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission (October 22, 2012) / Clifford E. Kirsch Sutherland Asbill & Brennan LLP -- Speech by Sec Staff: Remarks at the Compliance Outreach Program, At Sec Headquarters, Washington, D.C., By Carlo V. di Florio, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission (January 31, 2012) / Clifford E. Kirsch Sutherland Asbill & Brennan LLP -- Money Laundering: A Primer (October 30, 2013) / Sung Hee Suh Schulte Roth & Zabel LLP -- In the Matter of Asset Advisors, LLC, Sec Admin. Proc. File No. 3 14644 (Nov. 28, 2011) / Clifford E. Kirsch Sutherland Asbill & Brennan LLP -- In the Matter of Omni Investment Advisors Inc. and Gary R. Beynon, Sec Admin. Proc. File No. 3 14643 (Nov. 28, 2011) / Clifford E. Kirsch Sutherland Asbill & Brennan LLP -- In the Matter of Axa Rosenberg Group LLC, Axa Rosenberg Investment Management LLC, And Barr Rosenberg Research Center LLC, Sec Admin. Proc. File No. 3 14224 (Feb. 3, 2011) / Clifford E. Kirsch Sutherland Asbill & Brennan LLP -- Safeguarding Customer Information and Privacy (August 23, 2013) / Tanya L. Forsheit InfoLawGroup LLP -- Money Laundering: A Primer (October 30, 2013) / Sung Hee Suh Schulte Roth & Zabel LLP -- Merger and Acquisition Due Diligence: Why It is not Enough to Prevent an FCPA Violation / Sharie A. Brown Troutman Sanders LLP The Uncertain Scope of Protection for Internal Whistleblowers Under Dodd Frank (August 23, 2013) / Allegra J. Lawrence Hardy Sutherland Asbill & Brennan LLP -- Ten Reasons Why Companies Should Value Their Chief Compliance Officer / Sharie A. Brown Troutman Sanders LLP -- Merger and Acquisition Due Diligence: Why It is not Enough to Prevent an FCPA Violation / Sharie A. Brown Troutman Sanders LLP
Series:
Corporate law and practice course handbook series ; Number B-2060
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