Brad Bennett, Kyle Clark and Bridget Moore published an article, “Eight Simple Questions for the Current Regulatory Climate” in Bloomberg Law’s Securities Regulation & Law Report on October 9, 2017. The article examines that the first eight months of the Trump Administration have coincided with a fall-off in high profile corporate- related civil and criminal enforcement activity. This turn of events has raised questions regarding corporate compliance and regulatory risk.
These questions include:
- Question 1: Do regulated entities have more latitude to operate in grey areas?
- Question 2: Do individuals have a lower risk of prosecution?
- Question 3: Has whistleblower risk declined?
- Question 4: Can we expect lower fines and penalties?
- Question 5: Will Kokesh v. U.S. have a material effect on the SEC's enforcement program?
- Question 6: Do companies have more leeway in disciplining senior employees who engage in misconduct?
- Question 7: Have the standards changed for when to launch an internal investigation?
- Question 8: May corporations be more strategic in determining when to use independent outside counsel to conduct an internal investigation?
For a copy of the article, please click the title link below.