From reactive to ready: Why preventive controls and information barriers matter in communications compliance

Reactive surveillance catches risk after the fact. Explore how preventive controls and information barriers can help stop compliance breaches before they happen.
Finextra

Managing Information Barriers in the Era of Remote Working

Information barriers have always been a challenge for organisations to manage, monitor and control. As a result, many firm have historically banned home working and previously only enabled access to ...
JD Supra

SEC Complaint Signals Aggressive Approach to Information Barriers Enforcement

On September 12, the Securities and Exchange Commission (SEC) filed a complaint in the Southern District of New York (SDNY) charging a large proprietary trading firm with making materially false and ...
JD Supra

SEC Staff Greenlights Information Barriers as Alternative Approach to Rule 192 Compliance

The staff of the US Securities and Exchange Commission’s Division of Corporation Finance recently granted no-action relief for transactions under Securities Act Rule 192(a)(3)(iii) (commonly known as ...