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Eight Simple Questions for the Current Regulatory Climate

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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.

Eight Simple Questions for the Current Regulatory Climate

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