Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE

Stephen L. Cohen, Associate Director of Enforcement at the SEC, recently gave remarks at a conference.  In his remarks, Mr. Cohen stressed the importance of effective compliance programs.  Mr. Cohen also noted “So far, I am seeing a significant majority of whistleblower claims from people who have reported internally first.  They don’t appear to be running to the SEC and away from corporate compliance programs.”

Check frequently for updated information on the JOBS Act, the Dodd-Frank Act and other important securities law matters.