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- 10(b) of the Securities Exchange Act (1)
- Code of Professional Responsibility (1)
- Decriminalization and the Nordic Model (1)
- Don’t Risk It; Wait Until She’s Sober (1)
- Duty of confidentiality. (1)
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- Ethical codes (1)
- Ethical theory (1)
- Ethics (1)
- Financial misconduct (1)
- Financial regulation; Compliance technology; Cybersecurity; Agency problems; Risk analysis; Financial accidents; Systemic risks; “Too linked to fail”; “Too fast to save”; Hackers; Cybercriminals; Corporate governance; Risk management; Human agency; Artificial intelligence (1)
- Hedge fund traders (1)
- His Feminist Facade: The Neoliberal Co-option of the Feminist Movement (1)
- In Her Words: Recognizing and Preventing Abusive Litigation Against Domestic Violence Survivors (1)
- Insider Trading Sanctions Act of 1984 (1)
- Integrity (1)
- Let’s Invest in People (1)
- Let’s Talk About Sex: A Call for Guardianship Reform in Washington State (1)
- Living Under the Boot: Militarization and Peaceful Protest (1)
- Not Prisons: How Washington State Should Address Its Ex-Offender Unemployment Rate (1)
- PTO Code (1)
- Patent Law (1)
- Prostitution Policy: Legalization (1)
- Regulatory ethics (1)
- SEC (1)
- Sarbanes-Oxley (1)
Articles 1 - 11 of 11
Full-Text Articles in Banking and Finance Law
Compliance, Technology, And Modern Finance, Tom C.W. Lin
Compliance, Technology, And Modern Finance, Tom C.W. Lin
Brooklyn Journal of Corporate, Financial & Commercial Law
An important transformation is happening in the financial industry. The rise of new technology and compliance has dramatically altered many of the key functions and functionaries of modern finance. Artificial intelligence, algorithmic programs, and supercomputers, instead of human actors, now constitute the core of many financial operations. Compliance officers have become just as critical to financial institutions as traders, bankers, and analysts. Finance as we knew it has changed and continues to change. This symposium Article offers a studied commentary on these unfolding changes, the crosscutting developments in compliance, technology, and modern finance. It examines the concurrent and intersecting ascents …
Living Under The Boot: Militarization And Peaceful Protest, Charlotte Guerra
Living Under The Boot: Militarization And Peaceful Protest, Charlotte Guerra
Seattle Journal for Social Justice
No abstract provided.
His Feminist Facade: The Neoliberal Co-Option Of The Feminist Movement, Anjilee Dodge, Myani Gilbert
His Feminist Facade: The Neoliberal Co-Option Of The Feminist Movement, Anjilee Dodge, Myani Gilbert
Seattle Journal for Social Justice
No abstract provided.
Prostitution Policy: Legalization, Decriminalization And The Nordic Model, Ane Mathieson, Easton Branam, Anya Noble
Prostitution Policy: Legalization, Decriminalization And The Nordic Model, Ane Mathieson, Easton Branam, Anya Noble
Seattle Journal for Social Justice
No abstract provided.
Don’T Risk It; Wait Until She’S Sober, Patrick John White
Don’T Risk It; Wait Until She’S Sober, Patrick John White
Seattle Journal for Social Justice
No abstract provided.
Let’S Talk About Sex: A Call For Guardianship Reform In Washington State, Sage Graves
Let’S Talk About Sex: A Call For Guardianship Reform In Washington State, Sage Graves
Seattle Journal for Social Justice
No abstract provided.
Let’S Invest In People, Not Prisons: How Washington State Should Address Its Ex-Offender Unemployment Rate, Sara Taboada
Let’S Invest In People, Not Prisons: How Washington State Should Address Its Ex-Offender Unemployment Rate, Sara Taboada
Seattle Journal for Social Justice
No abstract provided.
In Her Words: Recognizing And Preventing Abusive Litigation Against Domestic Violence Survivors, David Ward
In Her Words: Recognizing And Preventing Abusive Litigation Against Domestic Violence Survivors, David Ward
Seattle Journal for Social Justice
No abstract provided.
Financial Misconduct, Ethical Theory, And Regulatory Ethics— Promoting Accountability, P. M. Vasudev
Financial Misconduct, Ethical Theory, And Regulatory Ethics— Promoting Accountability, P. M. Vasudev
The Journal of Business, Entrepreneurship & the Law
This paper examines developments in the financial sector and identifies a role for regulatory ethics in promoting integrity and accountability. In this effort, the paper also explores theoretical perspectives in ethics and how they can shape business behavior. Specifically, the article proposes corporate codes of ethics, a mandatory requirement under the New York Stock Exchange Listing Rules, as instruments to promote morality in corporate conduct. Ethics codes, which are internally generated, must be tailored to reflect the experience and made more effective. They can be amplified to specify standards to govern the fiduciary duty of care applicable to executives, personal …
The Lawyer's Duty Of Disclosure Ethics And Sarbanes-Oxley The New Conundrum For Patent Lawyers, Abraham C. Reich, Steven J. Rocci
The Lawyer's Duty Of Disclosure Ethics And Sarbanes-Oxley The New Conundrum For Patent Lawyers, Abraham C. Reich, Steven J. Rocci
Akron Intellectual Property Journal
The general purpose of this paper is to sensitize intellectual property lawyers to the potential impact on their practice created by Sarbanes-Oxley. At a more detailed level, and because of the unique challenges facing them, this paper addresses Sarbanes-Oxley's potential impact on patent lawyers who practice before the PTO, even when it is the patent lawyer's sole practice. To that end, this paper will highlight relevant portions of Rule 56, the relevant ethical code sections, and the pertinent considerations under Sarbanes-Oxley.
Friends With Benefits: Analyzing The Implications Of United States V. Newman For The Future Of Insider Trading, Tebsy Paul
American University Business Law Review
No abstract provided.