Open Access. Powered by Scholars. Published by Universities.®
- Keyword
-
- Compliance technology; Corporate culture; Culture of compliance; Federal Sentencing Guidelines; Big data; Compliance monitoring and audits; Employee morale; Values based compliance; Command-and control approaches; Self-regulatory approaches; Financial regulation; Criminalized compliance; Corporate policing; Ethical misconduct (1)
- Cyber-attacks; cyber-crime; information security; cybersecurity; Ponemon Institute; data sharing; data breach; Securities Exchange Commission; SEC; hacking; information technology system; phishing; Department of Justice; DOJ; cybercriminal; malware; spyware; IT; Denial of Service Attacks; DoS; DDoS; Distributed Denial of Service campaign; third-party vendor attack; Dumpster Diving; Economic Espionage; Trade Secret Misappropriation; Office of Compliance Inspections and Examinations; OCIE; Financial Industry Regulatory Authority; FINRA; broker-dealer; Risk Alert; Regulation S-P; Gramm-Leach-Bliley Act; GLBA; Computer Fraud and Abuse Act; CFAA; protected computer; United States v. Valle; Electronic Communications Privacy Act; ECPA; The Wiretap Act; The Stored Communications Act; SCA; The Pen Registry Act; Federal Trade Commission; FTC; Federal Deposit Insurance Corporation; FDIC; Federal Reserve; Economic Espionage Act; EEA; Defend Trade Secrets Act; DTSA; Huawei Technologies Co.; Cybersecurity Disclosure Act of 2017 and 2018; common law; class action; standing; Rule 23(a); 23(b)(3); negligence; breach of contract; derivative shareholder suits; Wyndham Worldwide Corporation; Regulatory Systems Compliance and Integrity; SCI; Regulation S-ID; Regulation S-P; General Disclosure Provisions; 503(c); Regulation S-K; Description of Business; financial statements; Framework for Improving Critical Infrastructure Cybersecurity; compliance; disaster plan; plaintext; ciphertext; crisis management; due diligence; The Protecting Cyber Networks Act; PCNA; National Cybersecurity Protection Advancement Act of 2015; NCPAA; The Cybersecurity Information Sharing Act; CISA; Privacy and Civil Liberties Oversight Board; Department of Homeland Security; DHS; National Cybersecurity and Communications Integration Center; NCIC; U.S. Chamber of Commerce Leadership Council; (1)
- Dodd-Frank Wall Street Reform and Consumer Protection Act; Fraud; Hedge Funds; Misappropriation of Assets; Systemic Risk; Financial Systems; Securities Regulation; Institutional Investors; Risk Prevention; Systemic Failure; Long Term Capital Management (LTCM); Retailization; Leveraged Assets; Depository-Custodian; External Independent Valuer; Securities and Exchange Commission (SEC); Defining Hedge Funds; The Alpha; The Securities Act of 1933; The Securities and Exchange Act of 1934; The Investment Company Act of 1940; The Investment Advisers Act of 1940; Bank Runs; Derivatives; Short Selling; Trading Volume; Repo Agreements; Like-Banks Activities; Investor Protection; Scandals; The Sophisticated Investor Doctrine; Pension Funds; Compliance; SEC's Anti-Fraud Rule; SEC's Custody Rule; The International Organization of Securities Commissions (IOSCO) (1)
- Private Prisons Information Act; Freedom of Information Act; History of Privatized Correctional Services; Corrections Corporation of America; GEO Group; Management and Training Corporation; Disclosure; Corruption; Prison Conditions; Private Prison; Transparency; Public Oversight; Federal Outsourcing to Private Prisons; Contract Prisons; (1)
- Securities exchange commission; SEC; DOJ; Department of Justice; cryptocurrency; enforcement; investors; ponzi scheme; prosecution; defendant; section 5(a); Section 5(c); Securities Act of 1933; Facebook; Libra; banking; bitcoin; Federal Trade Commission; FTC; Department of the Treasury; dark web; futures; CME Group; Intercontinental exchange; New York Stock Exchange; blockchain; Warren Buffet; United States v. Ulbricht; Silk Road; Dread Pirate Roberts; Internal Revenue Service; Securities and Exchange Commission; SEC; Initial Coin Offerings; ICO; SEC v. W.J. Howey Co.; Howey test; Jump-Start Our Business Startups Act; JOBS Act; penny stocks; SEC v. Blockvest LLC; Blockchain Exchange Commission; United States v. McDonnell; wire fraud; SEC v. Natural Diamonds Investment Co.; mining; United States v. Fowler; DAO Report; Ether; Securities and Exchange Act of 1934; FBI; U.S. Attorney; Section 17(a); Section 10(b); Titanium Blockchain; Exchange Traded Fund; ETF; Regulation A+; foreign issuer; Division of Corporate Finance; bad actor; Rule 262; Winklevoss; Coinbase; Financial Action Task Force; FATF; FINRA; Financial Industry Regulatory Authority; SRO; self-regulatory organization (1)
Articles 1 - 5 of 5
Full-Text Articles in Administrative Law
A Taxonomy Of Cryptocurrency Enforcement Actions, Peter J. Henning
A Taxonomy Of Cryptocurrency Enforcement Actions, Peter J. Henning
Brooklyn Journal of Corporate, Financial & Commercial Law
This article looks at how the Securities and Exchange Commission (SEC) and the Department of Justice (DOJ) have pursued cases involving cryptocurrencies. A number of prosecutions have been brought against defendants who misled investors into believing that they were obtaining cryptocurrencies when in fact there were simply false statements and schemes to defraud, such as Ponzi schemes. When a company has attempted to issue a cryptocurrency to investors, the SEC has relied on Section 5(a) and 5(c) of the Securities Act of 1933 to require that issuers file a registration statement with the Commission. This is not an easy process …
The Criminal, Regulatory, And Civil Issues Surrounding Intellectual Property And Cybersecurity, Ernest Edward Badway, Christie Mcguinness
The Criminal, Regulatory, And Civil Issues Surrounding Intellectual Property And Cybersecurity, Ernest Edward Badway, Christie Mcguinness
Brooklyn Journal of Corporate, Financial & Commercial Law
Cyber-attacks have affected all organizations and individual consumers. Dissemination of relevant information and attention to strong information security practices is an important tool in fighting this cyber “pandemic.” Additionally, the legal and regulatory liability companies face from cyber-attacks as well as general strategies and practical solutions companies may implement to protect against cyber-intrusions and respond effectively in the event of an attack are considered. There are many iterations of cyber-crime, and we address the various methods cybercriminals use and the many ways cyber-attacks can take place, as well as the entities and victims affected. Moreover, the legal liability and regulatory …
Private Prisons And The Need For Greater Transparency: Private Prison Information Act, Libbi L. Vilher
Private Prisons And The Need For Greater Transparency: Private Prison Information Act, Libbi L. Vilher
Brooklyn Journal of Corporate, Financial & Commercial Law
Private prisons are not subject to the same regulations as government prisons. Particularly, private prisons are exempt from the requirements set forth in the Freedom of Information Act and its state equivalents, which provide that the public has an enforceable right to request certain records from government agencies. Numerous efforts made by members of Congress to enact the Private Prison Information Act, a bill that would subject private prisons to disclosure laws found in the Freedom of Information Act, have been unsuccessful. Such efforts to strip the veil of secrecy that shades private prisons from public scrutiny are especially important …
From Systemic Risk To Financial Scandals: The Shortcomings Of U.S. Hedge Fund Regulation, Marco Bodellini
From Systemic Risk To Financial Scandals: The Shortcomings Of U.S. Hedge Fund Regulation, Marco Bodellini
Brooklyn Journal of Corporate, Financial & Commercial Law
In the recent past, hedge funds have demonstrated that they can pose and spread systemic risk across the financial markets, and that their managers can use them to commit fraud and misappropriation of fund assets. Even if the first issue now seems to be considered a serious one by the U.S. legislature, which in 2010, as a legislative response to the global financial crisis of 2007-2008, enacted the Dodd-Frank Act Wall Street Reform and Consumer Protection Act (Dodd-Frank), the current regulation still appears inconsistent and inappropriate to prevent and face it. By contrast, the second issue is not always considered …
The Question Concerning Technology In Compliance, Sean J. Griffith
The Question Concerning Technology In Compliance, Sean J. Griffith
Brooklyn Journal of Corporate, Financial & Commercial Law
In this symposium Essay, I apply insights from philosophy and psychology to argue that modes of achieving compliance that focus on technology undermine, and are undermined by, modes of achieving compliance that focus on culture. Insisting on both may mean succeeding at neither. How an organization resolves this apparent contradiction in program design, like the broader question of optimal corporate governance arrangements, is highly idiosyncratic. Firms should therefore be accorded maximum freedom in designing their compliance programs, rather than being forced by enforcement authorities into a set of de facto mandatory compliance structures.